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FINRA Awards for Sara K. Yates

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Case Number Award Date Case Summary Customer Case? Amount Granted
19-0206203/04/2020Claimant(s): Joseph Guarneri
Claimant Lawyers(s): Patrick R Mahoney
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sara K. Yates
Arbitrator(s): Madelon M. Rosenfeld
Hearing Site: New York, NY
19-0185301/28/2020Claimant(s): Gary Ribe
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Banc of America Investment Services Inc.
Respondent Lawyers(s): Sara K. Yates
Arbitrator(s): Joan M. Traub
Hearing Site: Newark, NJ
19-0145401/02/2020Claimant(s): Todd Silaika
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sara K. Yates
Arbitrator(s): Alice E. Winkler
Hearing Site: Albany, NY

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