FINRA Awards for Merton E. Marks

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Displaying 11-16 out of 16 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
18-00718	09/26/2018	Claimant(s): Christopher Mette Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Morgan Stanley DW Inc. Respondent Lawyers(s): Jeffrey S. Jacobi Arbitrator(s): Merton E. Marks Hearing Site: Phoenix, AZ
17-03471	08/13/2018	Claimant(s): Michael Butt Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Piper Jaffray & Co., UBS Financial Services Inc. Respondent Lawyers(s): Ann C. McCague, Neal S. Robb Arbitrator(s): Merton E. Marks Hearing Site: Phoenix, AZ
17-01790	02/22/2018	Claimant(s): Noah Levine Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Wells Fargo Clearing Services Respondent Lawyers(s): Steven L. Satter Arbitrator(s): Merton E. Marks Hearing Site: Salt Lake City, UT
12-01407	04/19/2013	Claimant(s): Charles Schwab & Co.. Claimant Lawyers(s): Jesse B. Simpson Respondent(s): Timothy Moran, Private Client Respondent Lawyers(s): Corporate Officer, Timothy Damien Moran Arbitrator(s): Eugene R. Nielson, Brian L Evans, Merton E. Marks Hearing Site: Phoenix, AZ
08-01403	10/12/2009	Claimant(s): Charles Schwab & Co.. Claimant Lawyers(s): Susan Guerette Respondent(s): Lee Munson, Portfolio LLC Respondent Lawyers(s): Clinton W. Marrs Arbitrator(s): George N. Roy, Brian L Evans, Merton E. Marks Hearing Site: Albuquerque, NM
06-00290	02/24/2009	Claimant(s): Wachovia Securities Claimant Lawyers(s): Renan I. Sugarman Respondent(s): Craig Johnson Respondent Lawyers(s): Jeffrey S. Leonard Arbitrator(s): Deborah C. Bernot, Merton E. Marks, Lee R. Barbakoff Hearing Site: Phoenix, AZ