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FINRA Awards for Robert M. Bath

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Case Number Award Date Case Summary Customer Case? Amount Granted
12-0006510/10/2012Claimant(s): Arthur W. Curtis, Jr. Trust, Cynthia S. Curtis Trust
Claimant Lawyers(s): K. Michael Swann
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Julie W. Portera
Arbitrator(s): Thomas Joseph Atkinson, Daniel P. Lund, Robert M. Bath
Hearing Site: Orlando, FL
Checkmark IconExpungement
11-0034112/22/2011Claimant(s): Sean McGrover
Claimant Lawyers(s): Sean Patrick McGrover
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Michael Fleming
Respondent Lawyers(s): Peter R. Rosenzweig
Arbitrator(s): Maurice M. Feller, Stephen A. Saker, Robert M. Bath
Hearing Site: Orlando, FL
09-0488410/14/2010Claimant(s): Chester Zoeller
Claimant Lawyers(s): James P. McCrocklin
Respondent(s): Richard Mitchell, Sterne, Agee & Leach.
Respondent Lawyers(s): Stephen L. Poer
Arbitrator(s): R. Van Young, Robert M. Bath, Stephen Ronald Crissey
Hearing Site: Louisville, KY
Checkmark Icon$0

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