FINRA Awards for Audrey Y. Dupont

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Displaying 4 out of 4 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
13-02800	04/06/2015	Claimant(s): Cage Carruthers Claimant Lawyers(s): Charles D. Reaves Respondent(s): Ari Litvin, Wachovia Securities Respondent Lawyers(s): Audrey Y. Dupont Arbitrator(s): Yvonia A. Foster, J. Maxwell Williams, William Graves Hardwick Hearing Site: Memphis, TN
09-04033	07/14/2010	Claimant(s): Scott Skinner Claimant Lawyers(s): Brian D. Buckstein Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Audrey Y. Dupont Arbitrator(s): Steve R. Neuman, Larry J. Sklar, Matthew G. Wylie Hearing Site: Houston, TX
09-02152	03/25/2010	Claimant(s): Gordon Stamper Claimant Lawyers(s): Gordon D. Stamper Respondent(s): MML Investors Services. Respondent Lawyers(s): Audrey Y. Dupont Arbitrator(s): James Francis Donovan, Robert N. Kohn, Stephen Edward Cundiff Hearing Site: Birmingham, AL
06-04042	03/23/2009	Claimant(s): Robert Traitz Claimant Lawyers(s): James A. Batson Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Audrey Y. Dupont Arbitrator(s): Edith M. Novack, S. Charles Tabak, Phillip Benedetto Hearing Site: Newark, NJ