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FINRA Awards for Lee H. Tockman

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Case Number Award Date Case Summary Customer Case? Amount Granted
07-0297111/25/2008Claimant(s): Gail Berger
Claimant Lawyers(s): Lee H. Tockman
Respondent(s): Delmar Austin, Kenneth Rohr, Merrill Lynch Pierce Fenner & Smith Inc., Nora Winsberg, Timothy Cunningham
Respondent Lawyers(s): David E. Bamberger
Arbitrator(s): Michael S. Matek, Frederic M. Rizzo, Irving A. Chesler
Hearing Site: Chicago, IL
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