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FINRA Awards for Thomas Fleming

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Case Number Award Date Case Summary Customer Case? Amount Granted
13-0215007/15/2015Claimant(s): Henry Mora, Lionel Gonzalez, Michele Lewis
Claimant Lawyers(s): Bruce D. Oakes
Respondent(s): Royal Alliance Associates.
Respondent Lawyers(s): Thomas Fleming
Arbitrator(s): Jeffrey M. Allen, Debra Brothers Self, Byron L. Dare
Hearing Site: San Francisco, CA
Checkmark Icon$1,401,700
12-0118104/03/2013Claimant(s): Nancy Brown, Nancy F. Brown Trust dated 7/24/1989
Claimant Lawyers(s): Thomas D. Mauriello
Respondent(s): Sagepoint Financial., John Venable
Respondent Lawyers(s): Justin Sacca, Thomas Fleming
Arbitrator(s): Jon C. Milliken, Sally G. Williams, Chad Anthony Franks
Hearing Site: San Diego, CA
Checkmark IconExpungement

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