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FINRA Awards for Steven Flagg

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Case Number Award Date Case Summary Customer Case? Amount Granted
18-0190802/11/2019Claimant(s): Steven Flagg
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): W. Preston Martin
Arbitrator(s): Robert E. Anderson
Hearing Site: New York, NY
18-0177701/16/2019Claimant(s): Steven Flagg
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Angela A. Turiano
Arbitrator(s): James S. Hazard
Hearing Site: New York, NY

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