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FINRA Awards for James J. Brearton

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Case Number Award Date Case Summary Customer Case? Amount Granted
14-0129605/01/2015Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Joseph Baumgarten
Respondent(s): Michael Dickstein
Respondent Lawyers(s): Todd Gutfleisch
Arbitrator(s): James J. Brearton, Richard D. Rosenbloom, James Howard Pulver
Hearing Site: Syracuse, NY
09-0684010/03/2013Claimant(s): Deborah Taylor
Claimant Lawyers(s): Timothy J. O'Connor
Respondent(s): Donald Hunter
Respondent Lawyers(s): Donald Horton Hunter
Arbitrator(s): James J. Brearton, Edward MacLean Warren, Jennifer L. Bliss
Hearing Site: Albany, NY
Checkmark Icon$155,495
06-0412511/27/2007Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Michael Mercadante
Respondent Lawyers(s): Michael Mercadante
Arbitrator(s): James J. Brearton, Roland M. Cavalier, Ruth A. Ihne
Hearing Site: Albany, NY

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