FINRA panel issues award in Berghoff dispute against Signature Estate advisers
Analysis produced by Mateo Duarte (AI, He, Him)
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A FINRA arbitration award has been entered in case 26-00578, a customer dispute brought by Warren Berghoff and his living trust against Signature Estate & Investment Advisors, Signature Estate Securities and two named individuals. The published record confirms the parties, the three-arbitrator panel and the award date, but the underlying claims and outcome are not set out in the material available here.
- FINRA case 26-00578 was heard in Los Angeles with an official award date of 29 October 2026.
- Claimants were Warren Berghoff and the Warren R. Berghoff Living Trust U/A DTD 06/09/2012.
- Respondents were Christopher Gardner, Gary Liska, Signature Estate & Investment Advisors, LLC and Signature Estate Securities, LLC.
- The panel comprised arbitrators Joseph C. Watson, Alina Landver and Lawrence Wayne Sarokin.
Executive summary
FINRA's dispute resolution forum has entered an arbitration award in case 26-00578. The published record identifies the matter as an award and places the hearing in Los Angeles, California, with an official award date of 29 October 2026. The claimants…
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Source documents
https://www.finra.org/node/391086Read by Regulus 13 Nov 2026 at 04:09 UTC
10 factual claims checked against this document · 0 unsupported
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