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FINRA Awards for Tara LaClair

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Case Number Award Date Case Summary Customer Case? Amount Granted
23-0269303/12/2024Claimant(s): George Were Obama
Claimant Lawyers(s): Thomas Nealy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Tara LaClair
Arbitrator(s): Harry G. Mason
Hearing Site: Atlanta, GA
Checkmark IconDismissed by Rule 12212©
23-0215211/01/2023Claimant(s): Sean Spencer, Access Capital
Claimant Lawyers(s): John Vaughn
Respondent(s): IMA Wealth
Respondent Lawyers(s): Clayton J. Kaiser
Arbitrator(s): John W. Jones, Leonard M. Goldstein, Tara A. LaClair
Hearing Site: Wichita, KS
17-0079302/15/2019Claimant(s): Patricia Khaleghi, The Clarence Burr Living Trust
Claimant Lawyers(s): William B. Federman
Respondent(s): Brian Johnson, Carter Baumert, Merrill Lynch Pierce Fenner & Smith Inc., Michael Rodriguez
Respondent Lawyers(s): Tara LaClair
Arbitrator(s): Michael R. Prescott, Robert J. Gregory, Edward J. Lynch
Hearing Site: Oklahoma City, OK
Checkmark IconExpungement

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