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FINRA Awards for Daniel J. Donovan

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Case Number Award Date Case Summary Customer Case? Amount Granted
19-0340403/21/2022Claimant(s): Frank B Hannah Sr.
Claimant Lawyers(s): Luke Rommel
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Michael Truitt
Respondent Lawyers(s): Tara A. LaClair
Arbitrator(s): Daniel J. Donovan, Richard E. Lauziere, Tina E. Patterson
Hearing Site: Baltimore, MD
Checkmark IconExpungement
09-0306206/03/2010Claimant(s): James A. Dixon Testamentary Trust
Claimant Lawyers(s): Michael Dixon
Respondent(s): Keith Steiner, UBS Financial Services Inc.
Respondent Lawyers(s): Jon D. Kaplon
Arbitrator(s): Herbert B. Williams, Daniel J. Donovan, Arlene J.M. Grant
Hearing Site: Baltimore, MD
Checkmark IconLack Jurisdiction (Rule 12200/12201)

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