FINRA Awards for Mary E. Bassett

Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:

Displaying 7 out of 7 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
22-01674	07/26/2023	Claimant(s): Carolyn Catlin, Stephen Wintermeier, Fenway Financial Advisors Claimant Lawyers(s): David J. Freniere Respondent(s): Ashleigh Swayze, Swayze LLC Respondent Lawyers(s): John E. MacDonald Arbitrator(s): Mary E. Bassett, Linda Luke Lee, Marjorie Ann Butler Hearing Site: Boston, MA
21-01567	05/25/2022	Claimant(s): Sandhya Kalkunte Claimant Lawyers(s): Sandhya Sandy Kalkunte Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Stuart D. Roberts Arbitrator(s): Mary E. Bassett Hearing Site: Boston, MA
20-01506	03/17/2021	Claimant(s): Timothy Nolan Claimant Lawyers(s): Jonathan M. Sterling Respondent(s): Citigroup Global Markets. Respondent Lawyers(s): Adam M. Kauff Arbitrator(s): Mary E. Bassett Hearing Site: Boston, MA
19-02150	04/09/2020	Claimant(s): Amy Loughran Claimant Lawyers(s): Walter J. Korzeniowski Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): John B. Clark Arbitrator(s): Mary E. Bassett Hearing Site: Boston, MA
18-02115	01/18/2019	Claimant(s): Jason Traino Claimant Lawyers(s): Tosh D. Grebenik Respondent(s): Morgan Stanley Respondent Lawyers(s): Jeremy S. Winer Arbitrator(s): Mary E. Bassett Hearing Site: Boston, MA
17-02107	04/11/2018	Claimant(s): Richard Bellew Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Morgan Stanley DW Inc., Moors & Cabot. Respondent Lawyers(s): Jeremy S. Winer, Michael C. Fee Arbitrator(s): Mary E. Bassett Hearing Site: Boston, MA
16-00135	06/15/2017	Claimant(s): Barclays Capital Inc. Claimant Lawyers(s): V. Justin Arpey Respondent(s): Daniel Caso Respondent Lawyers(s): AiVi Nguyen Arbitrator(s): Edward Joseph Boudreau, Frank Sanclemente, Mary E. Bassett Hearing Site: Boston, MA