FINRA Awards for Michael Miller

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Displaying 4 out of 4 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
21-02507	12/05/2022	Claimant(s): Michael Miller Claimant Lawyers(s): Gregg Adler Respondent(s): TD Private Client Wealth LLC Respondent Lawyers(s): Ira G. Rosenstein Arbitrator(s): Edward S. Hill, Patrick Leo Kennedy, Peter E. Gillespie Hearing Site: Hartford, CT
16-03696	08/17/2018	Claimant(s): UBS Financial Services Inc., UBS Credit Corp Claimant Lawyers(s): James L. Komie Respondent(s): Michael Miller Respondent Lawyers(s): Michael Emil Miller Arbitrator(s): Steven R. Rolnick, April C. Teveris, Jeremy Gray Zimmermann Hearing Site: Hartford, CT
13-02701	11/13/2013	Claimant(s): Fidelity Brokerage Services LLC Claimant Lawyers(s): Jennifer A Kenedy Respondent(s): Michael Miller Respondent Lawyers(s): Michael Douglas Miller Arbitrator(s): Thomas J. Patka, Ken Ziesenheim, John Hughes Verchot Hearing Site: Tampa, FL
10-03036	01/04/2011	Claimant(s): Wells Fargo Advisors Claimant Lawyers(s): Jim Van Dyke Respondent(s): Michael Miller Respondent Lawyers(s): J. Benjamin Dick Arbitrator(s): Nelson I. Fishman Hearing Site: Richmond, VA