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FINRA Awards for Steven E. Farris

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Case Number Award Date Case Summary Customer Case? Amount Granted
12-0210206/04/2014Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Jason E. Murtagh
Respondent(s): Steven Farris
Respondent Lawyers(s): Steven E. Farris
Arbitrator(s): Anthony J. Soukenik, R. Phillip Reed, Jennifer McGillivary
Hearing Site: St. Louis, MO
09-0221603/01/2011Claimant(s): Wachovia Securities
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): Steven Farris
Respondent Lawyers(s): Steven E. Farris
Arbitrator(s): Thomas J. McAllister, Jesse David Hill, Michael William Petty
Hearing Site: St. Louis, MO

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