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FINRA Awards for Thomas Shaw

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Case Number Award Date Case Summary Customer Case? Amount Granted
10-0513805/16/2013Claimant(s): Bonnie Shaw, Thomas Shaw
Claimant Lawyers(s): Geoffrey C. Brown
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Dominick F. Evangelista
Arbitrator(s): Mary D. Stevenson, Sarah R. Cole, John T. Meredith
Hearing Site: Columbus, OH
Checkmark IconExpungement
10-0169506/27/2011Claimant(s): Clifford Newton, Dorothy Newton
Claimant Lawyers(s): Charles A. Morehead
Respondent(s): Thomas Shaw, Suntrust Bank
Respondent Lawyers(s): Frederick S Schrils
Arbitrator(s): Cindy L. Anderson, William H. McCullough, Angelo J. Infantino
Hearing Site: Jacksonville, FL
Checkmark IconExpungement

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