FINRA Awards for Mary E. Bassett

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Displaying 4 out of 4 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
22-01025	05/08/2023	Claimant(s): Kenneth Woodfield, Michael Shain Claimant Lawyers(s): Christopher J. Gray Respondent(s): Hilltop Securities Inc. Respondent Lawyers(s): Jonathan D. Neerman Arbitrator(s): Howard N. Gorney, Mary E. Bassett, John George Neylon Hearing Site: Boston, MA		$0
18-03788	09/17/2020	Claimant(s): Wilfred & Virginia Suozzo Claimant Lawyers(s): Bradford M Gucciardo Respondent(s): Elizabeth Ryan, TD Ameritrade. Respondent Lawyers(s): Simeon M. Schopf Arbitrator(s): Mary E. Bassett Hearing Site: Boston, MA		$0
17-02035	11/20/2018	Claimant(s): Kenneth Ebbe Claimant Lawyers(s): Blake Godbout Respondent(s): Jill Cody, Richard Cody, Concorde Investment Services, Westminster Financial Advisory Corp., Westminster Financial Securities. Respondent Lawyers(s): Gerry J. Kowalski, Jill M. Cody, Joseph S. Simms, Richard Grant Cody Arbitrator(s): James R. Collins, Christine R. Fitzgerald, Mary E. Bassett Hearing Site: Boston, MA		$286,096
14-00302	01/11/2016	Claimant(s): Carlos Zarate Claimant Lawyers(s): George W. Price Respondent(s): Morgan Stanley, Michael Saidi Respondent Lawyers(s): Alejandro Schwed Arbitrator(s): B. John Dill, James R. Collins, Mary E. Bassett Hearing Site: Boston, MA		Expungement