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FINRA Awards for Robert D Mitchell

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Displaying 4 out of 4 results
Case Number Award Date Case Summary Customer Case? Amount Granted
20-0230705/30/2023Claimant(s): Kathleen Entzminger, Michael Entzminger, Entzminger Family Trust, Entzminger Property H Trust, Entzminger Property W Trust, EFT Prado
Claimant Lawyers(s): Robert D Mitchell
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Suzette J. Barnes
Arbitrator(s): Timothy J. Kroll, Jay Lawrence Witkin, Vineet Mehta Shaw
Hearing Site: Phoenix, AZ
Checkmark IconExpungement
20-0250301/20/2023Claimant(s): Alison Barrett, Robert Barrett
Claimant Lawyers(s): Robert D Mitchell
Respondent(s): Morgan Stanley, Kyle Backus
Respondent Lawyers(s): Suzette J. Barnes
Arbitrator(s): Erik R. Siering, Roger A. Geddes, Walter Steven Schwartz
Hearing Site: Phoenix, AZ
Checkmark IconExpungement
20-0074912/29/2020Claimant(s): Deeann Griebel
Claimant Lawyers(s): Robert D Mitchell
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Stephen G. Topetzes
Arbitrator(s): Elliott Finkel, Kenneth R. Johnston, Kenneth L. Mann
Hearing Site: Phoenix, AZ
18-0113802/04/2019Claimant(s): Antoine Souma
Claimant Lawyers(s): Robert D Mitchell
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Cheryl S. Chang
Arbitrator(s): Barbara M. Zak, James R. Duncan, Morris S. Getzels
Hearing Site: Los Angeles, CA

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