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FINRA Awards for Gerald L. Fingerhut

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Case Number Award Date Case Summary Customer Case? Amount Granted
13-0325809/09/2015Claimant(s): Arthur Keith Burch and Lea Burch, JTWROS
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Regina P. Martorana
Arbitrator(s): Gerald L. Fingerhut, John Russell Barlow, David Lawrence Rowe
Hearing Site: Raleigh, NC
Checkmark IconExpungement
12-0152506/14/2013Claimant(s): Daniel Bollinger
Claimant Lawyers(s): Nicholas D. Thomas
Respondent(s): Kelly Tinsley, UBS Financial Services Inc.
Respondent Lawyers(s): Julian W. Wells
Arbitrator(s): Gerald L. Fingerhut, John Russell Barlow, Karen A. West
Hearing Site: Raleigh, NC
Checkmark IconExpungement
09-0362906/24/2010Claimant(s): Lloyd Dotson, Robert Wood
Claimant Lawyers(s): Richard Slavin
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Christin M. Choi
Arbitrator(s): Denzil J. Klippel, David A. Schwarz, Gerald L. Fingerhut
Hearing Site: New York, NY

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