FINRA Awards for Audette Paul Morales

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Displaying 21-26 out of 26 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
12-01549	11/08/2012	Claimant(s): Charles Schwab & Co.. Claimant Lawyers(s): Audette Paul Morales Respondent(s): Charles S. Hoyt, IRA, SEP-IRA, Charles S. Hoyt & Nancy S. Hoyt Respondent Lawyers(s): Thomas D. Mauriello Arbitrator(s): Laurel Littman Gothelf, Jerold R. Babin, Michael Lancaster Garcia Hearing Site: San Francisco, CA		Expungement
09-05737	04/15/2011	Claimant(s): John L. Norris, Vivianne Norris, John L. Norris & Vivianne Norris, JT TEN Claimant Lawyers(s): Christopher T. Vernon Respondent(s): Charles Schwab & Co.. Respondent Lawyers(s): Audette Paul Morales Arbitrator(s): John F. Allgood Hearing Site: Birmingham, AL		Expungement
09-05006	04/06/2011	Claimant(s): John Dailey Claimant Lawyers(s): Irwin G. Stein Respondent(s): Charles Schwab & Co.. Respondent Lawyers(s): Audette Paul Morales Arbitrator(s): Herbert L. Brown, Jonathan H. Krotinger, Fern M. Laethem Hearing Site: San Francisco, CA		Expungement
08-04462	01/20/2011	Claimant(s): Alphonse Matt, Alphonse J.Matt,Jr. (Bene) IRA Rollover Claimant Lawyers(s): Thomas F. Shine Respondent(s): Kimon Peter Daifotis, Charles Schwab & Co.. Respondent Lawyers(s): Audette Paul Morales Arbitrator(s): Lawrence J. Welte, James A. Lundberg, Douglas J. Nesbit Hearing Site: Minneapolis, MN		Stipulated Award and Expungement
09-06614	06/24/2010	Claimant(s): Harbor Press. Claimant Lawyers(s): Jason T. Dennett Respondent(s): Charles Schwab & Co.. Respondent Lawyers(s): Audette Paul Morales Arbitrator(s): Laurie E. Law Hearing Site: Seattle, WA		$19,168
08-03125	05/22/2009	Claimant(s): Joel W. Carter, IRA, Louise Carter, TTEE for Carter Family Claimant Lawyers(s): Marnie C. Lambert Respondent(s): Charles Schwab & Co.. Respondent Lawyers(s): Audette Paul Morales Arbitrator(s): Joseph C. Watson Hearing Site: Los Angeles, CA		$5,825