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FINRA Awards for Jon C. Milliken

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Case Number Award Date Case Summary Customer Case? Amount Granted
11-0076203/12/2012Claimant(s): Jack Smith
Claimant Lawyers(s): Arthur S. Leider
Respondent(s): Worth Bagley
Respondent Lawyers(s): Richard A. Bunt
Arbitrator(s): James J. Dobbin, Jon C. Milliken, Donovan Evans Dorsey
Hearing Site: San Diego, CA
11-0280512/06/2011Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Ken Massey
Respondent(s): Gerald Ramirez
Respondent Lawyers(s): Gerald Daniel Ramirez
Arbitrator(s): Jon C. Milliken
Hearing Site: San Diego, CA
08-0177502/06/2009Claimant(s): William Aste
Claimant Lawyers(s): James J. Aste
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Evelyn A. Christensen
Arbitrator(s): Jon C. Milliken
Hearing Site: San Diego, CA
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