FINRA Awards for Thomas C. McNally

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Displaying 4 out of 4 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
12-00953	06/11/2013	Claimant(s): UBS Financial Services Inc. Claimant Lawyers(s): Brian S. Hormozi Respondent(s): Randall Krenzin, William Zurn Respondent Lawyers(s): Jeffrey L. Malek Arbitrator(s): Carlos Richard Mangum, Thomas C. McNally, William Michael Samsel Hearing Site: San Francisco, CA
11-01399	05/11/2012	Claimant(s): Duane Nack Claimant Lawyers(s): Duane Arlen Nack Respondent(s): Ameriprise Financial Services. Respondent Lawyers(s): Kristina L. Carlson Arbitrator(s): Thomas C. McNally, Nancy Hutt, Daniel J. Lind Hearing Site: San Francisco, CA
08-00527	12/21/2009	Claimant(s): David Lehrer, Dennis Contrestano, Jack Swenson, Michael Luby, Michael Patterson, Michael Swenson, Patrick Howell, Stephen Hird Claimant Lawyers(s): Amanda M. Knudsen Respondent(s): Piper Jaffray & Co., Piper Jaffray Companies Respondent Lawyers(s): Julie A. Kole Arbitrator(s): Thomas C. McNally, Sterling N. Frost, Jerold R. Babin Hearing Site: San Francisco, CA
07-01972	04/17/2009	Claimant(s): Timothy Sullivan Claimant Lawyers(s): Anne Marie Murphy Respondent(s): Advanced Equities. Respondent Lawyers(s): Kelly J. Moynihan Arbitrator(s): Paul J. Dubow, Carl B. Noelke, Thomas C. McNally Hearing Site: San Francisco, CA