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FINRA Awards for Samuel E. Endicott

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Case Number Award Date Case Summary Customer Case? Amount Granted
10-0080104/04/2012Claimant(s): LPL Financial LLC
Claimant Lawyers(s): Samuel E. Endicott
Respondent(s): David Chapman, Paul Clayton, Sheri Chapman, Sherry West, EPWM Group.
Respondent Lawyers(s): Brian S. Harnikorate Officer, Michael P. McCloskey, Michael T. Conway
Arbitrator(s): Harvey C. Flodin, Guenter S. Cohn, James A. Bush
Hearing Site: San Diego, CA
11-0166312/14/2011Claimant(s): Mitchell Kauffman
Claimant Lawyers(s): Samuel E. Endicott
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Dennis A. Torres
Hearing Site: Los Angeles, CA
Expungement

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