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FINRA Awards for Roxanne Sheehan

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Case Number Award Date Case Summary Customer Case? Amount Granted
14-0358901/26/2016Claimant(s): Estate of Doris Sharp
Claimant Lawyers(s): Shannon L. McDougald
Respondent(s): David Ludwig, Leif Oksenvaag, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Roxanne Sheehan
Arbitrator(s): Robert E. Meston, Philip E. Cutler, Craig Charles Beles
Hearing Site: Seattle, WA
Checkmark IconExpungement
15-0080601/15/2016Claimant(s): David Kabel, Julie Kabel
Claimant Lawyers(s): Julie Kabel
Respondent(s): Helen Wathen, Michael Armondo, Merrill Lynch Pierce Fenner & Smith Inc., Travis Taylor
Respondent Lawyers(s): Roxanne Sheehan
Arbitrator(s): Robert J. Gregory
Hearing Site: Dallas, TX
Checkmark Icon$0

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