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FINRA Awards for Andrew M. Schmertz

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Case Number Award Date Case Summary Customer Case? Amount Granted
21-0196511/08/2023Claimant(s): Julie O'Rourke
Claimant Lawyers(s): Pierre Ciric
Respondent(s): Morgan Stanley, Kathleen Entwistle, UBS Financial Services Inc.
Respondent Lawyers(s): Amanda Parisi, Anastasia B. Wohar, David I. Hantman
Arbitrator(s): Oliver W. Williams, Andrew M. Schmertz, Richard Gary Stelnik
Hearing Site: New York, NY
Checkmark IconExpungement
18-0191606/21/2019Claimant(s): The Elaine Lynn Revocable Trust, The Melvin Lynn Revocable Trust
Claimant Lawyers(s): Eric M. Jaffe
Respondent(s): J.P. Morgan Securities, Jeremy Rayburn, Vincent Sapienza
Respondent Lawyers(s): Michael A. Gross
Arbitrator(s): Maria C. Hermida, Betty Chen, Andrew M. Schmertz
Hearing Site: New York, NY
Checkmark Icon$0
11-0283204/25/2013Claimant(s): James Metzger
Claimant Lawyers(s): Steven B. Caruso
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Daren A. Luma
Arbitrator(s): Susan C. Lushing, Evonne W.J. Tolbert, Andrew M. Schmertz
Hearing Site: New York, NY
Checkmark Icon$0

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