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FINRA Awards for Harold K. Hunt

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Case Number Award Date Case Summary Customer Case? Amount Granted
11-0135101/04/2012Claimant(s): William Brown
Claimant Lawyers(s): Ronald G. Parker
Respondent(s): Arrowhead Investment Center
Respondent Lawyers(s): Richard C. Moore
Arbitrator(s): Herbert Leslie Greenberg, James D. Knotter, Harold K. Hunt
Hearing Site: Los Angeles, CA
10-0108504/26/2011Claimant(s): John Mason
Claimant Lawyers(s): John A. Mason
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kathleen S. Adams
Arbitrator(s): John E. Ohashi, Harold K. Hunt, Mark A. Levy
Hearing Site: Los Angeles, CA
Checkmark Icon$13,000
07-0209602/17/2009Claimant(s): David Glazov
Claimant Lawyers(s): D. Aaron Brock
Respondent(s): Ameriprise Advisor Services., Robert Terry
Respondent Lawyers(s): Timothy N. Will
Arbitrator(s): Mandel E. Himelstein, Harold K. Hunt, Dennis A. Torres
Hearing Site: Los Angeles, CA

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