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FINRA Awards for Mary M. O'Neil

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Displaying 10 out of 20 results
Case Number Award Date Case Summary Customer Case? Amount Granted
22-0223507/07/2023Claimant(s): Andrew Kuo, Bradley Kaiser
Claimant Lawyers(s): Jeffrey K. Compton
Respondent(s): Western International Securities.
Respondent Lawyers(s): Donald Bizub
Arbitrator(s): Mary M. O'Neil, Kirtley M. Thiesmeyer, Sidney Kinji Kanazawa
Hearing Site: Los Angeles, CA
22-0106701/18/2023Claimant(s): Arlo Sullivan
Claimant Lawyers(s): Zachary Morse
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): John Murphy
Arbitrator(s): Mary M. O'Neil
Hearing Site: Los Angeles, CA
20-0292807/30/2021Claimant(s): Daniel Avan
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): John Murphy
Arbitrator(s): Mary M. O'Neil
Hearing Site: Los Angeles, CA
20-0369104/09/2021Claimant(s): Blake Nakamura
Claimant Lawyers(s): Erika Binnix
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Geoff Beckham
Arbitrator(s): Mary M. O'Neil
Hearing Site: San Diego, CA
20-0257803/19/2021Claimant(s): Daniel Bodemeijer
Claimant Lawyers(s): Kurt Zimmerman
Respondent(s): Ameriprise Financial Services
Respondent Lawyers(s): Howard Klausmeier
Arbitrator(s): Mary M. O'Neil
Hearing Site: Los Angeles, CA
20-0352003/15/2021Claimant(s): Sean Dobranich
Claimant Lawyers(s): James P. Galvin
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Stuart D. Roberts
Arbitrator(s): Mary M. O'Neil, Nicholas John Reiter, William Ogburn Huggins
Hearing Site: Las Vegas, NV
19-0318405/01/2020Claimant(s): David Winchell
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Banc of America Investment Services Inc.
Respondent Lawyers(s): W. Preston Martin
Arbitrator(s): Mary M. O'Neil
Hearing Site: Las Vegas, NV
19-0240003/16/2020Claimant(s): Timothy Metcalf
Claimant Lawyers(s): Audette Paul Morales
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): Lauren Beckman
Arbitrator(s): Mary M. O'Neil
Hearing Site: Los Angeles, CA
19-0015302/06/2020Claimant(s): Michael Tusing
Claimant Lawyers(s): Harris M. Freedman
Respondent(s): Deutsche Bank Securities.
Respondent Lawyers(s): Gideon Mark
Arbitrator(s): Mary M. O'Neil
Hearing Site: Los Angeles, CA
19-0131511/18/2019Claimant(s): Morgan Stanley, MSSB FA Notes Holding LLC
Claimant Lawyers(s): Timothy N Will
Respondent(s): Damion Smith
Respondent Lawyers(s): Damion Lenell Smith
Arbitrator(s): Mary M. O'Neil
Hearing Site: Los Angeles, CA

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