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FINRA Awards for Lucy J. Karl

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Case Number Award Date Case Summary Customer Case? Amount Granted
10-0301210/21/2011Claimant(s): John Dugan, John Dugan and Karen Dugan JTWROS
Claimant Lawyers(s): Kevin T. Smith
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Richard A Karoly
Arbitrator(s): Lucy J. Karl, Colette Manoil, Jeffrey Neil Fink
Hearing Site: Boston, MA
Checkmark IconExpungement
09-0061707/22/2009Claimant(s): James Barron
Claimant Lawyers(s): James Barron
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Diane M. Brown
Arbitrator(s): Lucy J. Karl
Hearing Site: Boston, MA
Checkmark Icon$0
07-0197610/09/2008Claimant(s): Susan J. Gallagher & John F. Gallagher
Claimant Lawyers(s): Bailey Buchanan Nowak
Respondent(s): Jesup & Lamont Securities Corp.
Respondent Lawyers(s): Todd A. Zuckerbrod
Arbitrator(s): Lucy J. Karl, Nickolas F. Monteforte, Maura Lenore Tomaszewski
Hearing Site: Boston, MA
Checkmark Icon$0

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