FINRA Awards for Sandra J. Mullings

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Displaying 31-34 out of 34 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
08-01194	07/01/2010	Claimant(s): Trident Partners Ltd Claimant Lawyers(s): Eugene L. Small Respondent(s): Brian Schantz, Edward Flynn, Francine Lanaia, Timothy Flynn, Alexander Capital, L.P. Respondent Lawyers(s): Carl Lanzisera, Eugene L. Small, Francine A. Lanaia Arbitrator(s): Sandra J. Mullings, Anthony J. Raimondi, Richard C. Bell Hearing Site: New York, NY
08-00319	07/06/2009	Claimant(s): Christian Martin Claimant Lawyers(s): Gregory Vidler Respondent(s): Banc of America Securities LLC Respondent Lawyers(s): Mark A. Nebrig Arbitrator(s): Mary L. Merkle, Sandra J. Mullings, Richard Lee Mansdoerfer Hearing Site: New York, NY
07-03151	05/07/2009	Claimant(s): Eric Serfaty Claimant Lawyers(s): Michael C. Deutsch Respondent(s): Citigroup Global Markets. Respondent Lawyers(s): Michael Riordan Arbitrator(s): Sandra J. Mullings, Jonathan L. Goldfarb, Nancy Kramer Hearing Site: New York, NY
07-00359	04/18/2008	Claimant(s): Caren Bass Claimant Lawyers(s): Caren M. Bass Respondent(s): Citigroup. Respondent Lawyers(s): Ira G. Rosenstein Arbitrator(s): Sandra J. Mullings, Elizabeth B. Head, Bartley F. Flaherty Hearing Site: New York, NY