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FINRA Awards for Merton E. Marks

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Displaying 21-25 out of 25 results
Case Number Award Date Case Summary Customer Case? Amount Granted
08-0441803/09/2010Claimant(s): Charles Osterman
Claimant Lawyers(s): Bruce D. Oakes
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Cal G. Gonzales
Arbitrator(s): Lehman W. Williams, Merton E. Marks, Loren Scott Buell
Hearing Site: Phoenix, AZ
Checkmark Icon$309,320
08-0140310/12/2009Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Susan Guerette
Respondent(s): Lee Munson, Portfolio LLC
Respondent Lawyers(s): Clinton W. Marrs
Arbitrator(s): George N. Roy, Brian L Evans, Merton E. Marks
Hearing Site: Albuquerque, NM
08-0065906/08/2009Claimant(s): Joan Francis
Claimant Lawyers(s): Michael W. Sillyman
Respondent(s): Lisa Reed, Neuberger Berm
Respondent Lawyers(s): Neal S. Robb
Arbitrator(s): Jerry H. Friedland, Richard E. Anderson, Merton E. Marks
Hearing Site: Phoenix, AZ
Checkmark Icon$0
06-0029002/24/2009Claimant(s): Wachovia Securities
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): Craig Johnson
Respondent Lawyers(s): Jeffrey S. Leonard
Arbitrator(s): Deborah C. Bernot, Merton E. Marks, Lee R. Barbakoff
Hearing Site: Phoenix, AZ
06-0245910/30/2007Claimant(s): Susan Beesmyer, Beesmyer Family Trust Agreement 10/96
Claimant Lawyers(s): J. Emery Barker
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Sean J. Coughlin
Arbitrator(s): Charles W. Herf, Allan Levey, Merton E. Marks
Hearing Site: Phoenix, AZ
Checkmark Icon$25,000

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