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FINRA Awards for Richard M. Norman

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Displaying 11-20 out of 26 results
Case Number Award Date Case Summary Customer Case? Amount Granted
15-0139108/26/2016Claimant(s): John Nahas
Claimant Lawyers(s): Cary S. Lapidus
Respondent(s): Nationwide Investment Services Corp
Respondent Lawyers(s): John L. Viola
Arbitrator(s): Richard M. Norman, Steven J. Feldman
Hearing Site: Los Angeles, CA
14-0321312/30/2015Claimant(s): Kenneth Hunt, Sharon Poulton, Kenneth Hunt Revocable Trust U/A dtd 11/, Sharon Poulton Revocable Trust
Claimant Lawyers(s): Jonathan Evans
Respondent(s): Jeffrey Fratarcangeli, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Brandon Reif, Eric A. Herzog
Arbitrator(s): Chester L. Firestein, Richard M. Norman, Susan B. Gans-Smith
Hearing Site: Los Angeles, CA
Checkmark IconExpungement
13-0283311/02/2015Claimant(s): Felyce Thomas
Claimant Lawyers(s): Herbert Wiggins
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Richard M. Norman
Hearing Site: Los Angeles, CA
Checkmark IconExpungement
14-0308006/19/2015Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Jason E. Murtagh
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Richard M. Norman
Hearing Site: Los Angeles, CA
13-0262205/27/2015Claimant(s): HSH Family Trust U/A DTD 8/15/2011
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Herbert Murez, Laurent C. Vonderweidt, Richard M. Norman
Hearing Site: Los Angeles, CA
Checkmark IconExpungement
13-0203906/19/2014Claimant(s): Ruth Levine, Ruth R. Levine Living Trust
Claimant Lawyers(s): Eric A. Woosley
Respondent(s): Morgan Stanley & Co., Stephen Kally
Respondent Lawyers(s): Chan H. Nam
Arbitrator(s): Robert A. Lombardi, Richard M. Norman, Gregory Douglas Stone
Hearing Site: Los Angeles, CA
Checkmark IconExpungement
12-0224406/03/2014Claimant(s): Joseph Ellison
Claimant Lawyers(s): James A. Sigler
Respondent(s): J.P. Morgan Securities, JPMorgan Chase Bank, N.A.
Respondent Lawyers(s): Eugene L. Small
Arbitrator(s): Richard M. Norman, Robert Edward Koondel, George Herman Frisch
Hearing Site: Los Angeles, CA
12-0193711/29/2013Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Brian Matz
Respondent Lawyers(s): Christine E. Goodrich
Arbitrator(s): Mark S. Priver, Edward Banian, Richard M. Norman
Hearing Site: Los Angeles, CA
12-0116705/14/2013Claimant(s): Suzy Asad, 1999 Suzy Asad Revocable Trust dtd 8/20/
Claimant Lawyers(s): Brian D. Miller
Respondent(s): Mamdoh Abas, Proequities.
Respondent Lawyers(s): Alexis Y. Lu, Brandon Reif
Arbitrator(s): Robert B. Moran, Richard M. Norman, Robert Alan Merring
Hearing Site: Los Angeles, CA
Checkmark Icon$448,560
10-0374305/08/2012Claimant(s): Donna Wagner, Richard Wagner, R.L.WagnerTrust-Richard Wagner Trustee
Claimant Lawyers(s): James R. Ebert, William A. Malis
Respondent(s): Wells Fargo Investments, Wells Fargo Brokerage Services, L.L.C., Wells Fargo Institutional Securities LLC
Respondent Lawyers(s): Peter R. Boutin
Arbitrator(s): Kenneth I. Rosenblum, Gerald F. Corrigan, Richard M. Norman
Hearing Site: Los Angeles, CA
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