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FINRA Awards for John F. Poole

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Case Number Award Date Case Summary Customer Case? Amount Granted
06-0439905/21/2008Claimant(s): Daniel Dart
Claimant Lawyers(s): Dan Driscoll
Respondent(s): Pioneer Funds Distributor., Pioneer Investment Management USA., Pioneer Investment Management.
Respondent Lawyers(s): Timothy P. Burke
Arbitrator(s): S. Lawrence Gwin, John F. Poole, Edward Joseph Boudreau
Hearing Site: Boston, MA
06-0529210/18/2007Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Kennth O'Connor
Respondent(s): Eric Nelson
Respondent Lawyers(s): Eric A. Nelson
Arbitrator(s): John F. Poole, Thomas L. Kennedy, John Manning Herr
Hearing Site: Boston, MA
06-0460909/25/2007Claimant(s): Mary Ann White
Claimant Lawyers(s): Patricia A. Washienko
Respondent(s): Peter Fader, Urchin Capital Partners
Respondent Lawyers(s): James S. Rollins
Arbitrator(s): Tom L. Peterson, John F. Poole, Melinda S. Milberg
Hearing Site: Boston, MA

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