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FINRA Awards for Frank Muller

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Case Number Award Date Case Summary Customer Case? Amount Granted
09-0178509/29/2009Claimant(s): Joseph Rici and Carolyn Ricci
Claimant Lawyers(s): Howard Meyers
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Evan Boucher
Arbitrator(s): Frank Muller
Hearing Site: New York, NY
Checkmark Icon$88
07-0190205/21/2008Claimant(s): Jeffrey Mann, Paul Umansky, UMann Fund Management
Claimant Lawyers(s): Jeffrey Mann, Paul J. Umansky
Respondent(s): Triumph Global Securities, LTD
Respondent Lawyers(s): Alfred Ferrer
Arbitrator(s): Frank Muller, Peter A. Goldman, David Mark Sobel
Hearing Site: New York, NY
06-0501511/09/2007Claimant(s): Torsten Scholl, DEQ GMBH & Co. Venture KG
Claimant Lawyers(s): Jacob H. Zamansky
Respondent(s): J.P. Morgan Securities., Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Joseph S. Simms, Timothy P. Burke
Arbitrator(s): Frank Muller, John E. Hansen, Court O. Anderson
Hearing Site: New York, NY
Checkmark Icon$0

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