FINRA Awards for Molly J. Henry

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Displaying 5 out of 5 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
15-01546	11/28/2016	Claimant(s): Jonathan Tran, Trustee of the Jonathan T Claimant Lawyers(s): Jason T. Dennett Respondent(s): Gilliat Schroeder, Morgan Stanley Respondent Lawyers(s): Andrew Gelfand, Molly J. Henry Arbitrator(s): Joseph C. Roberts, Elwood C. Avery, Joseph Lincoln Carman Hearing Site: Seattle, WA		$0
16-00846	08/12/2016	Claimant(s): Christopher Warswick Claimant Lawyers(s): Molly J. Henry Respondent(s): E*Trade Securities LLC Respondent Lawyers(s): Meredith F. Hoffman Arbitrator(s): James B. Eichberg, Gene R. Thornton, Francis Joseph Raucci Hearing Site: Salt Lake City, UT
15-02887	06/13/2016	Claimant(s): Dennis Mahoney Claimant Lawyers(s): Jonathan E. Neuman Respondent(s): RBC Capital Markets LLC Respondent Lawyers(s): Molly J. Henry Arbitrator(s): Peter R. Day Hearing Site: Seattle, WA		Dismissed by Rule 12206
15-01364	12/30/2015	Claimant(s): Charles Finkelstein Claimant Lawyers(s): Charles Finkelstein Respondent(s): James Borgerding, Lindie Enders, RBC Capital Markets LLC Respondent Lawyers(s): Molly J. Henry Arbitrator(s): Jonathan H. Krotinger Hearing Site: Seattle, WA		$0
10-03534	07/29/2013	Claimant(s): Ashley Marie Hern Gift Trust, Shaun M. Donnelly Gift Trust Claimant Lawyers(s): Lawrence R. Cock Respondent(s): Brad Weiner, UBS Financial Services Inc. Respondent Lawyers(s): Molly J. Henry Arbitrator(s): William J. Bender Hearing Site: Seattle, WA		Expungement