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FINRA Awards for Clarence L. Pozza

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Case Number Award Date Case Summary Customer Case? Amount Granted
09-0396910/27/2011Claimant(s): Ronald Kief IRA, The Ronald Kief Trust Account, The Rosa Lynn Kief Family Trust
Claimant Lawyers(s): Paul L. Nine
Respondent(s): David Pappas, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Clarence L. Pozza
Arbitrator(s): James L. Karpen, Lee Hornberger, Pamela Mary Lindner
Hearing Site: Detroit, MI
Checkmark Icon$0
09-0405710/21/2010Claimant(s): Lynette Cromwell
Claimant Lawyers(s): Lynette Cromwell
Respondent(s): Anthony Provenzano, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Clarence L. Pozza
Arbitrator(s): Barbara A. Johannessen, Roland L. Olzark, Thomas W. Lawson
Hearing Site: Detroit, MI
Checkmark Icon$10,000

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