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FINRA Awards for Herbert L. Brown

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Case Number Award Date Case Summary Customer Case? Amount Granted
11-0256808/28/2012Claimant(s): Herman Shine, Marianne Shine
Claimant Lawyers(s): Tanya Sacks
Respondent(s): Wells Fargo Investments, Patrick Briggs, Ray Seewer, Stephen Seewer
Respondent Lawyers(s): Vanessa M. Hoffmann
Arbitrator(s): James N. D'Orso, Edwin C. Shiver, Herbert L. Brown
Hearing Site: San Francisco, CA
Checkmark IconExpungement
09-0155703/09/2012Claimant(s): Kronos Fund Partners
Claimant Lawyers(s): Patrick Nelson
Respondent(s): Michael Megarit, Allegisone Securities.
Respondent Lawyers(s): Michael Allen Megarit, Terry L. Fleischman
Arbitrator(s): Herbert L. Brown, George King, William Michael Samsel
Hearing Site: San Francisco, CA

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