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FINRA Awards for Marie C. Mirch

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Displaying 6 out of 6 results
Case Number Award Date Case Summary Customer Case? Amount Granted
12-0404011/10/2015Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Aric Kent
Respondent Lawyers(s): Marie C. Mirch
Arbitrator(s): Fred T. Kallet, James D. Knotter, Thomas J. Doherty
Hearing Site: San Diego, CA
10-0089007/24/2012Claimant(s): Easton Limited Partnership
Claimant Lawyers(s): Marie C. Mirch
Respondent(s): Douglas Rachlin, Henry Robertson, Fidelity Brokerage Services LLC, Neuberger Berman LLC
Respondent Lawyers(s): Melissa H. Shea, Neal S. Robb, Patrick R. Mahoney
Arbitrator(s): Guenter S. Cohn, Thomas E. Mullen, Duane Ted Wolfe
Hearing Site: San Diego, CA
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10-0331302/16/2012Claimant(s): Bill Callis
Claimant Lawyers(s): Marie C. Mirch
Respondent(s): Banc of America Investment Services Inc.
Respondent Lawyers(s): Andrew M. DeLucia
Arbitrator(s): Michael E. Rohde, Patricia B. Lehtola, Thomas Richard Delaney
Hearing Site: Dallas, TX
10-0111611/14/2011Claimant(s): Michael Di Pietro
Claimant Lawyers(s): Marie C. Mirch
Respondent(s): First Allied Securities.
Respondent Lawyers(s): Jeffrey Compton
Arbitrator(s): Kenneth E. Owen, Larry Haugaard, Morris S. Getzels
Hearing Site: Los Angeles, CA
10-0066408/04/2011Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): John C. Steele
Respondent(s): Piper Jaffray & Co., Mark Riley
Respondent Lawyers(s): John C. Steele, Marie C. Mirch
Arbitrator(s): Nancy J. Spieczny, Edward H. Davis, Arnold Packer
Hearing Site: San Diego, CA
09-0033502/24/2011Claimant(s): Araceli Fonseca
Claimant Lawyers(s): Marie C. Mirch
Respondent(s): Brett Saddler, Ameriprise Financial Services.
Respondent Lawyers(s): Katherine J. Stanton
Arbitrator(s): Kenneth E. Owen, Arthur T. Berggren, Richard William DeWeese
Hearing Site: Los Angeles, CA

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