FINRA Awards for Theodore G. Eppenstein

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Displaying 2 out of 2 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
11-00598	08/15/2013	Claimant(s): Serge Nahas Claimant Lawyers(s): Theodore G. Eppenstein Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Joseph Baumgarten Arbitrator(s): David Finnegan, Keely D. Parr, Linda J. Baer, Michael F. Spellman Hearing Site: New York, NY
06-01674	09/04/2007	Claimant(s): Mark Quale Claimant Lawyers(s): Theodore G. Eppenstein Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Carol B. Trask Arbitrator(s): Marc Kalish, Beryl I. Dulsky, Denis Frank Hearing Site: Phoenix, AZ