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FINRA Awards for Stephen O'Donnell

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Case Number Award Date Case Summary Customer Case? Amount Granted
20-0065202/28/2022Claimant(s): James W. Miller, Jr.
Claimant Lawyers(s): Stephen O'Donnell
Respondent(s): Fidelity Brokerage Services LLC, National Financial Services LLC, Nicholas King, Paolo Rocca, Strategic Advisers.
Respondent Lawyers(s): Dochtor Kennedy, Kathryn B. Rockwood
Arbitrator(s): Theodore W. Wrobleski, Philip C. Stahl, James William Hoag
Hearing Site: Chicago, IL
Checkmark IconExpungement
19-0231506/12/2020Claimant(s): Stephen O'Donnell
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Citigroup Global Markets., Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Adam Kauff, Sarah K. Yates
Arbitrator(s): Robert E. Anderson
Hearing Site: Newark, NJ
11-0045910/15/2012Claimant(s): Morgan Stanley
Claimant Lawyers(s): Alan S. Brodherson
Respondent(s): Stephen O'Donnell
Respondent Lawyers(s): Patrick T. Burke
Arbitrator(s): David I. Goldblatt, Lloyd H. Slomanson, Donald Raymond McNally
Hearing Site: New York, NY

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