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FINRA Awards for Casey L. Moore

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Case Number Award Date Case Summary Customer Case? Amount Granted
11-0190808/02/2012Claimant(s): Guadalupe Bernal
Claimant Lawyers(s): William J. Risner
Respondent(s): Banc of America Investment Services Inc., Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Casey L. Moore
Arbitrator(s): Robert S. Mautner
Hearing Site: Phoenix, AZ
Checkmark Icon$0
11-0197205/29/2012Claimant(s): Bill Loomis, Sharon Loomis, Bill Loomis IRRA
Claimant Lawyers(s): Chris Bell
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Casey L. Moore
Arbitrator(s): Juanita D. McKethan, Larry J. Craddock, Martin Epner
Hearing Site: Houston, TX
Checkmark IconExpungement
09-0075203/23/2010Claimant(s): Harry Lockmann
Claimant Lawyers(s): Arthur S. Leider
Respondent(s): Mark Holland, Banc of America Investment Services Inc.
Respondent Lawyers(s): Casey L. Moore, Stephen M. Dollar
Arbitrator(s): Stephen R. Clark, Kelly A. Barker, William L. Merkin
Hearing Site: San Diego, CA
Checkmark Icon$32,230

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