FINRA Awards for Advisory Financial Consultants.

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Displaying 4 out of 4 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
15-02148	06/07/2016	Claimant(s): Ruthe Gomez, Advisory Financial Consultants. Claimant Lawyers(s): Christopher Mader Respondent(s): John Lohmeier, Rebecca Townsend Respondent Lawyers(s): John Harold Lohmeier, Rebecca Anne Townsend Arbitrator(s): Charles E. Farnsworth Hearing Site: San Francisco, CA
07-03055	12/29/2015	Claimant(s): Ruthe Gomez, Advisory Financial Consultants. Claimant Lawyers(s): Christopher Mader Respondent(s): Locke Haven, TradeRight Securities. Respondent Lawyers(s): Becky Townsend, Michael Rukojzo Arbitrator(s): Charles E. Farnsworth, David J. Romanski, Michael Craig Butterworth Hearing Site: San Francisco, CA
07-03072	12/29/2015	Claimant(s): TradeRight Corp. d/b/a TradeRight Securi Claimant Lawyers(s): James V. Garvey Respondent(s): Ruthe Gomez, Advisory Financial Consultants. Respondent Lawyers(s): Christopher P. Mader Arbitrator(s): Hearing Site: San Francisco, CA
08-03899	12/02/2009	Claimant(s): Kanella Sarros, Kanella V. Sarros 403B, Kanella V. Sarros Roth IRA, Sarros Family Trust dtd 10/03/2001 Claimant Lawyers(s): Jeffrey A. Feldman Respondent(s): Ruthe Gomez, Advisory Financial Consultants. Respondent Lawyers(s): Christopher Mader Arbitrator(s): Mitchell S. Ostwald, Benjamin Slomoff, Richard Conlon Lehrmann Hearing Site: San Francisco, CA		$73,606