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FINRA Awards for James Rhys Bernthal

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Case Number Award Date Case Summary Customer Case? Amount Granted
15-0318103/14/2017Claimant(s): Gary Matt
Claimant Lawyers(s): John Muldoon
Respondent(s): Anthony Minerva, James Bernthal, Wesley Clinton
Respondent Lawyers(s): Anthony Minerva, James Rhys Bernthal, Wesley Owen Clinton
Arbitrator(s): John D. Crawford, Sal Presti, Robert J. Albers
Hearing Site: Chicago, IL
Checkmark IconExpungement
13-0036612/08/2014Claimant(s): Michael Hammel, Michael D. Hammel IRA
Claimant Lawyers(s): Ryan Cook, Samuel B. Edwards
Respondent(s): James Bernthal, Qi Huang, Stephen Grivas, Upinder Sharma, Obsidian Financial Group
Respondent Lawyers(s): James Rhys Bernthal, Kevin Sharma, Qi Huang, Stephen Grivas, Upinder Kumar Sharma
Arbitrator(s): Kathryn J. Toronto, Barbara M. Anscher, Clifford A. Threlkeld
Hearing Site: San Francisco, CA
Checkmark Icon$182,932

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