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FINRA Awards for Marshal H. Emerson

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Case Number Award Date Case Summary Customer Case? Amount Granted
11-0390612/10/2012Claimant(s): AXA Advisors
Claimant Lawyers(s): Kenneth O'Connor
Respondent(s): Ronny Powell
Respondent Lawyers(s): Ronny W. Powell
Arbitrator(s): Marshal H. Emerson, John F. O'Neill, David Freeman
Hearing Site: Birmingham, AL
07-0199509/05/2008Claimant(s): Mike Dalton
Claimant Lawyers(s): Mike Dalton
Respondent(s): GunnAllen Financial.
Respondent Lawyers(s): William J. Schifino
Arbitrator(s): Jerrold E. Slutzky, Neal J. Tourdo, Marshal H. Emerson
Hearing Site: Tampa, FL
06-0386111/15/2007Claimant(s): Wachovia Securities
Claimant Lawyers(s): Demian Betz
Respondent(s): James Tuberosa
Respondent Lawyers(s): Zachary D. Messa
Arbitrator(s): Marshal H. Emerson, Marcy R. Greer, Robert Kevin O'Mara
Hearing Site: Tampa, FL

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