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FINRA Awards for Arthur B. O'Connell

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Case Number Award Date Case Summary Customer Case? Amount Granted
20-0165505/22/2023Claimant(s): Matthew Mooney, Williams Trading LLC
Claimant Lawyers(s): Dale G. Mullen, Matthew Brian Mooney
Respondent(s): Tourmaline Partners
Respondent Lawyers(s): Julia M. Jordan
Arbitrator(s): William James Pantele, Arthur B. O'Connell, JoAnne Lewis Nolte
Hearing Site: Richmond, VA
22-0079404/06/2023Claimant(s): Norman Williams
Claimant Lawyers(s): Mark J. Krudys
Respondent(s): Frederick Hughes, Wells Fargo Clearing Services
Respondent Lawyers(s): Shea O'Brien Hicks
Arbitrator(s): Gordon M. Wase, Arthur B. O'Connell, John D. Mattingly
Hearing Site: Norfolk, VA
Checkmark Icon$475,625
21-0062509/16/2022Claimant(s): Jaivin Karnani
Claimant Lawyers(s): Marc Seldin Rosen
Respondent(s): Futu Inc
Respondent Lawyers(s): Cameron S. Matheson
Arbitrator(s): Arthur B. O'Connell, Carl F. Bowmer, Gregory Hunter Mathews
Hearing Site: Richmond, VA
Checkmark Icon$0

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