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FINRA Awards for Robert J. Stumpf

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Case Number Award Date Case Summary Customer Case? Amount Granted
09-0182206/04/2010Claimant(s): JoAnne Simas, Joseph Simas
Claimant Lawyers(s): Mitchell Albert
Respondent(s): WAMU Investments., Jim McElravy
Respondent Lawyers(s): Robert J. Stumpf
Arbitrator(s): Donald S. Duerson, John P. Wilson, Walter J. Huntley
Hearing Site: San Francisco, CA
Checkmark Icon$350,000
06-0297703/07/2008Claimant(s): Rayna Brown
Claimant Lawyers(s): Montgomery G. Griffin
Respondent(s): J.P. Morgan Securities., John Anderson, PFG Distribution Company
Respondent Lawyers(s): Robert J. Stumpf, Jr.
Arbitrator(s): Isidoro Berkman, William Michael Samsel, Richard Conlon Lehrmann
Hearing Site: San Francisco, CA
Checkmark Icon$99,963

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