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FINRA Awards for Robert Chan

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Case Number Award Date Case Summary Customer Case? Amount Granted
14-0083202/27/2015Claimant(s): U.S. Bancorp Investments.
Claimant Lawyers(s): Eric R. Raphan
Respondent(s): Robert Chan
Respondent Lawyers(s): H. Thomas Fehn
Arbitrator(s): Elliott David Finkel, Theresa Y. Hu, Richard A. Stephens
Hearing Site: Los Angeles, CA
09-0629001/06/2012Claimant(s): Wells Fargo Investments
Claimant Lawyers(s): Paul T. Cahill
Respondent(s): Robert Chan
Respondent Lawyers(s): Christine A. Page
Arbitrator(s): David R. Finch, Martin J. Kotowski, James G. Gillivan
Hearing Site: San Francisco, CA

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