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FINRA Awards for UTMA Accounts Ending 383 and 385

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Case Number Award Date Case Summary Customer Case? Amount Granted
17-0133503/22/2019Claimant(s): UTMA Accounts Ending 383 and 385, Wendy A. Davies Revocable Trust 3-16-07
Claimant Lawyers(s): John J. Muldoon
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Dominick F. Evangelista
Arbitrator(s): Ray J. Grzebielski, Alfonso Cobb
Hearing Site: Chicago, IL
Checkmark IconExpungement

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