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FINRA Awards for F. Peter Phillips

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Case Number Award Date Case Summary Customer Case? Amount Granted
18-0402603/31/2020Claimant(s): Howard Dubinett, Jacqueline Dubinett
Claimant Lawyers(s): Lars Soreide
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): David G. Buffa
Arbitrator(s): Louis H Miron, F. Peter Phillips, Jonathan Proman
Hearing Site: Newark, NJ
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17-0071606/24/2019Claimant(s): Christopher Jansen
Claimant Lawyers(s): Robert L. Herskovits
Respondent(s): Invest Financial Corporation
Respondent Lawyers(s): Jessica E. Levine
Arbitrator(s): Joseph H. Cerame, F. Peter Phillips, Bruce Edward Walenczyk
Hearing Site: Newark, NJ

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