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FINRA Awards for Steven K. Lum

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Case Number Award Date Case Summary Customer Case? Amount Granted
11-0412312/16/2011Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Sean G. Duffy
Respondent(s): Chad Sillman, U.S. Bancorp Investments.
Respondent Lawyers(s): Akke Levin
Arbitrator(s): Thomas D. Tays, Steven K. Lum, Philip H. Marmurowski
Hearing Site: Las Vegas, NV

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