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FINRA Awards for Mark Mills

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Case Number Award Date Case Summary Customer Case? Amount Granted
21-0306906/29/2023Claimant(s): Mark Mills
Claimant Lawyers(s): Thomas C Allison
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): Steven Gerard Goerke, S. Ronald Daniels, Jan Duda Krafczek
Hearing Site: Boca Raton, FL
Checkmark Icon$10,440
21-0104509/02/2021Claimant(s): Mark Mills
Claimant Lawyers(s): Mark D. Mills
Respondent(s): Vanguard Marketing Corporation
Respondent Lawyers(s): Bryan M. Ward
Arbitrator(s): Will Murphy
Hearing Site: Boca Raton, FL
Checkmark Icon$0
11-0262508/08/2012Claimant(s): Fundamental Partnership, LTD
Claimant Lawyers(s): S. Cass Weiland
Respondent(s): Mark Mills
Respondent Lawyers(s): Mark Steven Mills
Arbitrator(s): Louis J. Weber
Hearing Site: Dallas, TX
Checkmark Icon$557,200
08-0360510/05/2009Claimant(s): Donna G. Leinart-Clegg, Indiv. &
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): Mark Mills, Waterstone Financial Group
Respondent Lawyers(s): David J. Freniere, Mark Wayne Mills
Arbitrator(s): Sharon R. Merriman, Kathleen A. DeLaney, James A. Morrow
Hearing Site: Indianapolis, IN
Checkmark Icon$500,000

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