FINRA Awards for Kate S. Arduini

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Displaying 5 out of 5 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
11-02038	07/27/2012	Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc., Merrill Lynch International Finance Claimant Lawyers(s): Kate S. Arduini Respondent(s): Scott Hartshorn Respondent Lawyers(s): David F. McComb Arbitrator(s): Carol H. Gold, Faye Riva Cohen, Timothy J. Tarpey Hearing Site: Philadelphia, PA
10-04687	03/29/2012	Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc., Merrill Lynch Group., Merrill Lynch International Finance Claimant Lawyers(s): Kate S. Arduini Respondent(s): Thomas Zur Respondent Lawyers(s): Brian D. Buckstein Arbitrator(s): Kathryn M. Welsh, James Conrad Sankpill, Renaldy Jose Gutierrez Hearing Site: Miami, FL
11-02215	02/28/2012	Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc. Claimant Lawyers(s): Kate S. Arduini Respondent(s): Eric Hansen Respondent Lawyers(s): Eric M. Hansen Arbitrator(s): Edwin J. Tomko Hearing Site: Dallas, TX
11-00109	07/12/2011	Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc., Merrill Lynch International Finance Claimant Lawyers(s): Kate S. Arduini Respondent(s): Kristi Lenderman Respondent Lawyers(s): Kristi Ann Lenderman Arbitrator(s): R. Phillip Reed Hearing Site: Denver, CO
10-04827	05/26/2011	Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc. Claimant Lawyers(s): Kate S. Arduini Respondent(s): Matthew Burnham Respondent Lawyers(s): Matthew J Burnham Arbitrator(s): Daniel G. Zeiser Hearing Site: Cleveland, OH