FINRA Awards for Mary L. Sims

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Displaying 4 out of 4 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
20-03751	01/14/2022	Claimant(s): Elizabeth Baucom, Richard Baucom, Richard Baucom IRA Claimant Lawyers(s): Michael Hill Respondent(s): LPL Financial LLC Respondent Lawyers(s): Eric A. Michaels Arbitrator(s): Guillermo L. Bosch, Mary L. Sims, Louis P. Wagman Hearing Site: Philadelphia, PA		Dismissed by Rule 12206
14-00292	06/20/2016	Claimant(s): Estate of Earl L. Everline, Karl J. EverlineTTee of Everline Family Claimant Lawyers(s): Kelly Everline Respondent(s): Raymond James Financial Services., Janney Montgomery Scott LLC Respondent Lawyers(s): Amy E. Sparrow, Robert M. Rudnicki Arbitrator(s): Elliot B. Platt, Jim Geiger, Mary L. Sims Hearing Site: Philadelphia, PA		$0
11-03256	05/28/2013	Claimant(s): Mario R. Gebbia as Trustee of the Mario Claimant Lawyers(s): Edward H. Glenn Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Brian J. Ellis Arbitrator(s): Elliot B. Platt, Kathleen L. Daerr-Bannon, Mary L. Sims Hearing Site: Philadelphia, PA		Expungement
08-03608	11/25/2009	Claimant(s): Cheryl Radey, Frank Radey, Patricia Radley Claimant Lawyers(s): Frank H. Radey Respondent(s): J. B. Hanauer & Co. Respondent Lawyers(s): Joseph Keenan Arbitrator(s): Jim Geiger, Dale A. Pope, Mary L. Sims Hearing Site: Philadelphia, PA		$0