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FINRA Awards for Mark Rossel

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Case Number Award Date Case Summary Customer Case? Amount Granted
08-0276808/11/2009Claimant(s): Mark Rossel
Claimant Lawyers(s): Erwin J. Shustak
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Patricia Tsipras
Arbitrator(s): Joyce L. Hurley, Joseph C. Watson, Russell T. Doe
Hearing Site: Los Angeles, CA
06-0024006/10/2009Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Patricia Tsipras
Respondent(s): Mark Rossel
Respondent Lawyers(s): Erwin J. Shustak
Arbitrator(s): Dean Schneider, Theresa Y. Hu, David S. Harrison
Hearing Site: Los Angeles, CA

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