FINRA Awards for Mark L. Williams

Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:

Displaying 7 out of 7 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
21-02315	06/09/2022	Claimant(s): Emily Eisenhauer Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Justin E. Condit Arbitrator(s): Mark L. Williams Hearing Site: Dallas, TX
20-01419	07/15/2021	Claimant(s): Raymond Borota Claimant Lawyers(s): Jennifer P. Farrar Respondent(s): Aegis Capital Corp. Respondent Lawyers(s): Kevin Meade Arbitrator(s): Mark L. Williams Hearing Site: Dallas, TX
17-01788	03/26/2018	Claimant(s): Alliance Affiliated Equities Corporation Claimant Lawyers(s): Jeffery Gibbs Respondent(s): Louis Kittlaus Respondent Lawyers(s): Louis Karl Kittlaus Arbitrator(s): Mark L. Williams Hearing Site: Kansas City, MO
16-01025	07/25/2017	Claimant(s): Oppenheimer & Co.. Claimant Lawyers(s): Travis McGregor Respondent(s): Kevin Taylor Respondent Lawyers(s): Kevin Wayne Taylor Arbitrator(s): Mark L. Williams Hearing Site: Kansas City, MO
12-01445	02/14/2014	Claimant(s): Oppenheimer & Co.. Claimant Lawyers(s): Christopher H. Tovar Respondent(s): Wade Lawrence Respondent Lawyers(s): Wade James Lawrence Arbitrator(s): Mark L. Williams, Franklin Lewis Broyles, Joseph Anthony Girgenti Hearing Site: Dallas, TX
12-02187	05/23/2013	Claimant(s): Joseph D'Amico Claimant Lawyers(s): Emily M. Stout Respondent(s): Cantor Fitzgerald & Co. Respondent Lawyers(s): A. John Harper Arbitrator(s): Mark L. Williams, Maryanne M. Esser, Richard A Miller Hearing Site: Dallas, TX
10-02582	12/29/2010	Claimant(s): Wells Fargo Advisors Claimant Lawyers(s): Todd Ratner Respondent(s): Allison Tarpley, UBS Financial Services Inc. Respondent Lawyers(s): John M. Phalen, Molly Tatman Arbitrator(s): Mark L. Williams Hearing Site: Dallas, TX