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FINRA Awards for John R Sustersic

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Displaying 6 out of 6 results
Case Number Award Date Case Summary Customer Case? Amount Granted
18-0361403/07/2022Claimant(s): Ellen Friedman, George Vrakas, Katherine Looper, Paul Cohen, Thomas Scheidt, William Bump, Chicago Houston Partners, NNN Congress Center 10, NNN Congress Center 13, NNN Congress Center 14, NNN Congress Center 15, NNN Congress Center 16, NNN Congress Center 3, NNN Congress Center 4, NNN Congress Center 7, NNN Congress Center Member 10, NNN Congress Center Member 13, NNN Congress Center Member 14, NNN Congress Center Member 15, NNN Congress Center Member 16, NNN Congress Center Member 3, NNN Congress Center Member 4, NNN Congress Center Member 7, Karen J Fils Estate; WilliamBump,Executr, Stanley Cohen Estate;L.Leventon,Executor, JonMar Partnership, GeorgeVrakas, GP, Looper Family Trust, KatherineLooperTTEE
Claimant Lawyers(s): Kenneth J. Catanzarite
Respondent(s): Wilfredo Felix, Primex
Respondent Lawyers(s): Wilfredo Felix
Arbitrator(s): Kenneth E. Owen, Daniel R. Brush, John R Sustersic
Hearing Site: Los Angeles, CA
Checkmark Icon$1,034,170
18-0203411/03/2020Claimant(s): Gauntlet Holdings LLC
Claimant Lawyers(s): Craig Beling
Respondent(s): David A. Noyes & Company
Respondent Lawyers(s): John D. Ruark
Arbitrator(s): Jeffrey L. Malek, John R Sustersic, Jeff Hass
Hearing Site: Los Angeles, CA
Checkmark Icon$0
19-0346606/22/2020Claimant(s): Morgan Stanley
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Joseph Pastore
Respondent Lawyers(s): Joseph Edward Pastore
Arbitrator(s): Barbara M. Zak, Katharine Reed Coleman, John R Sustersic
Hearing Site: Los Angeles, CA
16-0267801/03/2018Claimant(s): Richard Long
Claimant Lawyers(s): I. Donald Weissman
Respondent(s): J.P. Morgan Securities, Ruben Cavada
Respondent Lawyers(s): Neal S. Robb
Arbitrator(s): Elliott David Finkel, Michael John Florio, John R Sustersic
Hearing Site: Los Angeles, CA
Checkmark Icon$0
11-0458006/04/2014Claimant(s): Rick Cooper
Claimant Lawyers(s): Robert C. Rosen
Respondent(s): Richard Lanni, Ronald Vogel, Vincent Moy
Respondent Lawyers(s): Charles LaChaussee, John L. Erikson, Mitchell J. Albert
Arbitrator(s): John B. La Rue, Rosa Linda Guadarrama, John R Sustersic
Hearing Site: Los Angeles, CA
Checkmark Icon$0
10-0512902/03/2012Claimant(s): Steven Firestone, Steven N. Firestone UTA Charles Schwab &, Steven N. Firestone, MD Charles Schwab &
Claimant Lawyers(s): Steven N. Firestone
Respondent(s): Alfonso Portillo, Bari Havlik, Carrie Dwyer, Catherine Macgregor, Cathy Sabo, Charles Schwab, Evelyn Dilsaver, George Pereira, Jan Hier-King, Jeffrey Mortimer, Joseph Martinetto, Kenneth Salinger, Kimon Peter Daifotis, Koji Felton, Charles Schwab & Co.., Matthew Hastings, Michael Haydel, Randall Fillmore, Randall Merk, Ronald Carter, et al
Respondent Lawyers(s): Stephen Young
Arbitrator(s): Benjamin F. Breslauer, Robert Dean McKinley, John R Sustersic
Hearing Site: Los Angeles, CA
Checkmark IconExpungement

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