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FINRA Awards for Mary M. O'Neil

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Displaying 41-49 out of 49 results
Case Number Award Date Case Summary Customer Case? Amount Granted
10-0509107/24/2012Claimant(s): Morgan Stanley
Claimant Lawyers(s): Timothy N. Will
Respondent(s): John Fallon
Respondent Lawyers(s): Todd C. Atkins
Arbitrator(s): Mary M. O'Neil, David L. Maislen, Anna Marie Turco
Hearing Site: Los Angeles, CA
09-0356901/20/2012Claimant(s): Lyle W. Swenson, Jr. & Michelle Swenson
Claimant Lawyers(s): Peter K. Rundle
Respondent(s): Wachovia Securities, Craig Riley
Respondent Lawyers(s): Craig Alan Riley, G. Thomas Fleming
Arbitrator(s): Robert A. Lombardi, Kenneth E. Kreh, Mary M. O'Neil
Hearing Site: Los Angeles, CA
Checkmark Icon$0
08-0311402/25/2011Claimant(s): Howard Coleman, Rhoda Coleman, The Coleman Family Trust U/T/A 1/18/1992
Claimant Lawyers(s): Philip M. Aidikoff
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Elizabeth H. Lindh
Arbitrator(s): Jeffrey E. Skogsbergh, Mary M. O'Neil, Thanayi J. Lindsey
Hearing Site: Los Angeles, CA
Checkmark Icon$230,667
10-0116801/19/2011Claimant(s): Robert Reynolds, Susan Pitsch Reynolds, The 403-B Plan FBO Susan H. Pitch-Reynol, The Reynolds Living Trust U/A 6/14/03
Claimant Lawyers(s): Robert A. Uhl
Respondent(s): Sagepoint Financial.
Respondent Lawyers(s): Robert B. Ericson
Arbitrator(s): Ralph B. Perry, Mary M. O'Neil, Christopher William Shaw
Hearing Site: Los Angeles, CA
Checkmark IconExpungement
09-0233012/22/2009Claimant(s): Jeffrey Falcone
Claimant Lawyers(s): Jeffrey Marc Falcone
Respondent(s): Credit Suisse Securities (USA) LLC
Respondent Lawyers(s): Edwin A. Zipf
Arbitrator(s): Mary M. O'Neil
Hearing Site: Los Angeles, CA
Checkmark Icon$0
08-0498110/07/2009Claimant(s): Carlo Carrion
Claimant Lawyers(s): Carlo A. Carrion
Respondent(s): Craig Watanabe, Donald Bizub, Jon Hogen, Western International Securities.
Respondent Lawyers(s): Jeffrey K. Compton
Arbitrator(s): Erik R. Siering, Mary M. O'Neil, David Nielsen
Hearing Site: Los Angeles, CA
08-0363404/02/2009Claimant(s): Rodney Glover
Claimant Lawyers(s): Rodney J. Glover
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): Mary M. O'Neil
Hearing Site: Los Angeles, CA
Checkmark Icon$25
07-0359403/03/2009Claimant(s): Euro Pacific Capital.
Claimant Lawyers(s): John D. Pernick
Respondent(s): Kimberly Hardaker
Respondent Lawyers(s): Byron D. Groves
Arbitrator(s): Jonathan Schwartz, Mary M. O'Neil, Kendall C. Reed
Hearing Site: Los Angeles, CA
06-0273408/27/2008Claimant(s): Michael Waks
Claimant Lawyers(s): Michael L. Meeks
Respondent(s): David Goodenough, Melody Li, Thomas Birk, Lehman Brothers Inc
Respondent Lawyers(s): Eric M. George, Neal S. Robb
Arbitrator(s): Mary M. O'Neil, Vytas Tarulis, Steven K. Ogata
Hearing Site: Los Angeles, CA
Checkmark Icon$52,314

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