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FINRA Awards for Houston Putnam Lowry

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Case Number Award Date Case Summary Customer Case? Amount Granted
10-0052006/28/2011Claimant(s): Alan Mendelson and Peggy Mendelson
Claimant Lawyers(s): Ian E. Bjorkman
Respondent(s): Geoffrey Gregory, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Todd H. Cox
Arbitrator(s): Francis J. Pavetti, Marissa A. Santangelo, Houston Putnam Lowry
Hearing Site: Hartford, CT
Checkmark IconExpungement
09-0610804/07/2011Claimant(s): Douglas J. Beach and Margaret A. Beach
Claimant Lawyers(s): Howard M. Rosenfield
Respondent(s): Banc of America Investment Services Inc.
Respondent Lawyers(s): John P. Bevilacqua
Arbitrator(s): Roger L. Crossland, John Thomas Shaban, Houston Putnam Lowry
Hearing Site: Hartford, CT
Checkmark IconExpungement

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