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FINRA Awards for Sarah K. Yates

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Case Number Award Date Case Summary Customer Case? Amount Granted
18-0260503/01/2019Claimant(s): Steven Burch
Claimant Lawyers(s): Steven Carlon Burch
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): Dean J. Dietrich
Hearing Site: Portland, OR
Checkmark IconExpungement
17-0242512/05/2018Claimant(s): Eugene Gennarelli
Claimant Lawyers(s): Adam Gana
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): Kent L. Benziger, Jay Alan Kranis
Hearing Site: New York, NY
Checkmark IconExpungement
16-0250306/04/2018Claimant(s): Brent Adkison, Joan Adkison
Claimant Lawyers(s): William E. Goodwin
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): Kenneth R. Starr, Thomas Joseph Atkinson, Ralph O. Bolt
Hearing Site: New Orleans, LA
Checkmark Icon$0

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