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FINRA Awards for Mark Adams

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Case Number Award Date Case Summary Customer Case? Amount Granted
16-0065311/08/2019Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s): Mark Adams
Respondent Lawyers(s): Mark Adams
Arbitrator(s): Steven S. Manos
Hearing Site: Boston, MA
09-0672504/16/2015Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Mark Adams
Respondent Lawyers(s): Mark Allen Adams
Arbitrator(s): Mary C. Kelleher, Missy Daboul Margolis, Sharon L. Monroe
Hearing Site: Boston, MA
08-0255904/08/2010Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Peter Byer
Respondent(s): Mark Adams
Respondent Lawyers(s): Mark Allen Adams
Arbitrator(s): Robert Goldberg, Dallas Whitney Coffman, Patrick W. McKeon
Hearing Site: Boston, MA

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