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FINRA Awards for Mitchell S. Ostwald

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Displaying 8 out of 8 results
Case Number Award Date Case Summary Customer Case? Amount Granted
23-0262009/09/2024Claimant(s): Rongke Lin
Claimant Lawyers(s): Patrick R. Mahoney
Respondent(s): Blackrock Investments
Respondent Lawyers(s): Rachel Capler
Arbitrator(s): Mitchell S. Ostwald, Thomas Arthur Cohen, Anne Michaels Seavey
Hearing Site: San Francisco, CA
23-0136903/21/2024Claimant(s): Sarra He
Claimant Lawyers(s): Sarra He
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Christopher A. Stecher
Arbitrator(s): Mitchell S. Ostwald
Hearing Site: San Francisco, CA
Checkmark Icon$10,303
23-0172203/20/2024Claimant(s): William Perera
Claimant Lawyers(s): William Rohan Harin Perera
Respondent(s): Vista Point Advisors
Respondent Lawyers(s): Julie A. Totten
Arbitrator(s): Mitchell S. Ostwald, Jonathan H. Krotinger, Wendi Lee Eckardt
Hearing Site: San Francisco, CA
12-0288405/29/2014Claimant(s): Tall Trees
Claimant Lawyers(s): Thomas Burke
Respondent(s): Gary Spitz, Mt Rushmore Securities LLC
Respondent Lawyers(s): Gary Mitchell Spitz
Arbitrator(s): Robin Lynn Berry, Mitchell S. Ostwald, Arocles Aguilar
Hearing Site: San Francisco, CA
Checkmark Icon$0
11-0107511/14/2012Claimant(s): Spartan Capital Securities
Claimant Lawyers(s): Francis M. Curran
Respondent(s): Dean Kajouras, Douglas Bockmiller, John Lowry, Vincent Bruno, William Johnson
Respondent Lawyers(s): Francis M. Curran, Richard Sacks, William M. Johnson
Arbitrator(s): Mitchell S. Ostwald
Hearing Site: San Francisco, CA
Checkmark Icon$0
08-0389912/02/2009Claimant(s): Kanella Sarros, Kanella V. Sarros 403B, Kanella V. Sarros Roth IRA, Sarros Family Trust dtd 10/03/2001
Claimant Lawyers(s): Jeffrey A. Feldman
Respondent(s): Ruthe Gomez, Advisory Financial Consultants.
Respondent Lawyers(s): Christopher Mader
Arbitrator(s): Mitchell S. Ostwald, Benjamin Slomoff, Richard Conlon Lehrmann
Hearing Site: San Francisco, CA
Checkmark Icon$73,606
08-0081811/12/2009Claimant(s): Susan Ure
Claimant Lawyers(s): Susan Ure
Respondent(s): ING Financial Advisers, ING Life Insurance and Annuity Company
Respondent Lawyers(s): Michael E. Wilbur
Arbitrator(s): Mitchell S. Ostwald, Charles E. Farnsworth, Sharon Truluck Maier
Hearing Site: San Francisco, CA
07-0189408/19/2009Claimant(s): Fern Greene, Stefan Greene
Claimant Lawyers(s): Scott L. Silver
Respondent(s): Gary Gross
Respondent Lawyers(s): Gary J. Gross
Arbitrator(s): Charles B. Stark, Mitchell S. Ostwald, Thomas E. Quinlin
Hearing Site: San Francisco, CA
Checkmark Icon$125,510

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