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FINRA Awards for Sarah K. Yates

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Displaying 31-40 out of 89 results
Case Number Award Date Case Summary Customer Case? Amount Granted
19-0273904/08/2020Claimant(s): Paula Steinberg
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): Michael S. Lazan
Hearing Site: New York, NY
19-0286104/03/2020Claimant(s): Terence Hunt
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): Robert J. Ambrogi
Hearing Site: Boston, MA
19-0206003/27/2020Claimant(s): Joseph Guarneri
Claimant Lawyers(s): Patrick R Mahoney
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): Annamaria Boccia Smith
Hearing Site: New York, NY
19-0206103/09/2020Claimant(s): Joseph Guarneri
Claimant Lawyers(s): Patrick R. Mahoney
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): Sandra J. Mullings
Hearing Site: New York, NY
19-0168802/28/2020Claimant(s): Steven Southworth
Claimant Lawyers(s): Frances Menzer
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): Frances Johnson Wright
Hearing Site: Denver, CO
19-0167602/19/2020Claimant(s): Brent Henry, Dustin Colebank, Pamela Raben
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): Lynne M. Gomez
Hearing Site: Little Rock, AR
19-0138201/27/2020Claimant(s): Gregory Nerantzis
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): Jane Tam
Hearing Site: Richmond, VA
19-0148201/13/2020Claimant(s): Lysandra Maxim
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Quick & Reilly.
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): Ted M. Rosen
Hearing Site: New York, NY
19-0079912/16/2019Claimant(s): Mark Johnson
Claimant Lawyers(s): Linda D. Friedman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): Ellyn S. Roth
Hearing Site: New York, NY
19-0076112/11/2019Claimant(s): Kelly Daniels
Claimant Lawyers(s): Gregory Simon
Respondent(s): Edward Jones
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): Leon Fox
Hearing Site: Chicago, IL

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