FINRA Awards for Randi P. Spallina

Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:

Displaying 10 out of 12 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
18-01196	12/18/2018	Claimant(s): Scott Hood Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Wells Fargo Clearing Services, Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Judy Louie, Randi P. Spallina Arbitrator(s): Herbert Liberman Hearing Site: San Diego, CA
18-00464	11/05/2018	Claimant(s): Thomas Prentice Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Randi P. Spallina Arbitrator(s): Mark R. Lee Hearing Site: San Diego, CA
18-00662	10/25/2018	Claimant(s): Josephine White Claimant Lawyers(s): Michael Bessette Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Randi P. Spallina Arbitrator(s): Herb Schwartz Hearing Site: San Francisco, CA
18-00418	10/18/2018	Claimant(s): Scott MacDonald Claimant Lawyers(s): George C. Miller Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Randi P. Spallina Arbitrator(s): Laurel Littman Gothelf Hearing Site: San Francisco, CA
18-00398	09/27/2018	Claimant(s): Young Chung Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Randi P. Spallina Arbitrator(s): Herbert Liberman Hearing Site: San Diego, CA
17-02089	04/04/2018	Claimant(s): David Mendoza Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Randi P. Spallina Arbitrator(s): Laurel Littman Gothelf Hearing Site: San Francisco, CA
17-00890	12/05/2017	Claimant(s): Michael Greer Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Randi P. Spallina Arbitrator(s): A. Joel Klein Hearing Site: Los Angeles, CA
17-00941	11/14/2017	Claimant(s): Joseph Seidler Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Randi P. Spallina Arbitrator(s): Arocles Aguilar Hearing Site: San Francisco, CA
17-00555	11/03/2017	Claimant(s): J. Coghlan Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Randi P. Spallina Arbitrator(s): Mark R. Lee Hearing Site: San Diego, CA
17-00509	10/13/2017	Claimant(s): Scott Hood Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Randi P. Spallina Arbitrator(s): Mark R. Lee Hearing Site: San Diego, CA