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FINRA Awards for Katherine H. O'Neil

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Displaying 11-18 out of 18 results
Case Number Award Date Case Summary Customer Case? Amount Granted
12-0224504/03/2013Claimant(s): Morgan Stanley, MSSB FA Notes Holdings
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): William Brown
Respondent Lawyers(s): Lowell N. Hawkes
Arbitrator(s): Joseph W. Cheek, Katherine H. O'Neil, John McGown
Hearing Site: Boise, ID
12-0224704/03/2013Claimant(s): Morgan Stanley, MSSB FA Notes Holdings
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): William Burton
Respondent Lawyers(s): Lowell N. Hawkes
Arbitrator(s): Katherine H. O'Neil
Hearing Site: Boise, ID
11-0431405/29/2012Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Shannon L. McDougald
Respondent(s): James Mckee
Respondent Lawyers(s): James Scott Mckee
Arbitrator(s): Katherine H. O'Neil
Hearing Site: Portland, OR
11-0001809/20/2011Claimant(s): Jan Harris-Kimball, Jan E. Harris-Kimball ROTH IRA, Jan E. Harris-Kimball, IRA
Claimant Lawyers(s): Jan E. Harris-Kimball
Respondent(s): Scottrade Inc.
Respondent Lawyers(s): Niels P. Murphy
Arbitrator(s): Katherine H. O'Neil
Hearing Site: Portland, OR
Checkmark Icon$213
10-0159004/06/2011Claimant(s): Mary Jo Broomfield
Claimant Lawyers(s): Robert A. Graham
Respondent(s): Suanne Jones, American Independent Securities Group
Respondent Lawyers(s): Jeffrey S. Salisbury
Arbitrator(s): Katherine H. O'Neil
Hearing Site: Portland, OR
Checkmark Icon$0
09-0298801/05/2011Claimant(s): Ronee Mills
Claimant Lawyers(s): Michael P. Heringer
Respondent(s): Scottrade.
Respondent Lawyers(s): Narcisa Symank
Arbitrator(s): Gary F. Purpura, Katherine H. O'Neil, William H. King
Hearing Site: Helena, MT
08-0383904/30/2010Claimant(s): Tavalyn Crim
Claimant Lawyers(s): Gregory L. Powell
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Garrett R. Wynne
Arbitrator(s): Katherine H. O'Neil, Michael G. Hanlon, Lawrence Edward Kelly
Hearing Site: Portland, OR
Checkmark IconExpungement
08-0330707/24/2009Claimant(s): Albert Longbotham Trust
Claimant Lawyers(s): Robert S. Banks
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Cal G. Gonzales
Arbitrator(s): Gerald D. Wygant, Bonny Kathleen Riggs, Katherine H. O'Neil
Hearing Site: Portland, OR
Checkmark Icon$76,145

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