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FINRA Awards for Iain Sharpe

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Case Number Award Date Case Summary Customer Case? Amount Granted
18-0051910/25/2018Claimant(s): Iain Sharpe
Claimant Lawyers(s): Matthew B. Henneman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): Raymond C. Kerr
Hearing Site: Houston, TX
18-0052009/27/2018Claimant(s): Iain Sharpe
Claimant Lawyers(s): Matthew B. Henneman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah Yates
Arbitrator(s): Lynne M. Gomez
Hearing Site: Houston, TX

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