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FINRA Awards for Steven Southworth

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Case Number Award Date Case Summary Customer Case? Amount Granted
19-0331006/19/2020Claimant(s): Steven Southworth
Claimant Lawyers(s): Frances Menzer
Respondent(s): Cowen and Company
Respondent Lawyers(s): Steven Cohen
Arbitrator(s): Annamaria Boccia Smith
Hearing Site: New York, NY
19-0331506/08/2020Claimant(s): Steven Southworth
Claimant Lawyers(s): Frances Menzer
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): Peter A. Goldman
Hearing Site: New York, NY
19-0180603/06/2020Claimant(s): Steven Southworth
Claimant Lawyers(s): Frances Menzer
Respondent(s): Cowen and Company
Respondent Lawyers(s): Steven Cohen
Arbitrator(s): Ellyn S. Roth
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

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