FINRA Awards for Kathryn Dietrich Perreault

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Displaying 8 out of 8 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
23-02946	11/19/2024	Claimant(s): Robin Brubacher Claimant Lawyers(s): William E. Mahoney Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Kathryn Dietrich Perreault Arbitrator(s): Joseph J. Dougherty Hearing Site: Philadelphia, PA
23-01314	09/19/2024	Claimant(s): Vincent Ambroselli Claimant Lawyers(s): Austin Davis Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Kathryn Dietrich Perreault Arbitrator(s): Anna M. Fanelli Hearing Site: New York, NY
17-03155	07/25/2018	Claimant(s): Peter Inserra Claimant Lawyers(s): Owen Harnett Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Kathryn Dietrich Perreault Arbitrator(s): Madelon M. Rosenfeld Hearing Site: New York, NY
16-03130	07/21/2017	Claimant(s): John Erdmann Claimant Lawyers(s): Seth Huberman Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Kathryn Dietrich Perreault Arbitrator(s): Jack Friedman Hearing Site: New York, NY
16-03434	05/24/2017	Claimant(s): Garry Bridgeman Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Kathryn Dietrich Perreault Arbitrator(s): Harry G. Mason Hearing Site: Atlanta, GA
13-03048	05/13/2015	Claimant(s): Yolanda Bauza Claimant Lawyers(s): W. Scott Greco Respondent(s): UBS Financial Services Inc., UBS Financial Services of Puerto Rico Respondent Lawyers(s): Kathryn Dietrich Perreault Arbitrator(s): Janet Stern Solomon, Douglas Earl McLaren, James R. Stirn Hearing Site: Washington, DC		$200,000
11-01984	04/22/2013	Claimant(s): Spartan Marketing Limited Claimant Lawyers(s): Benjamin Lapin Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Kathryn Dietrich Perreault Arbitrator(s): Robert J. Kheel, Edward Buscemi, Annamaria Boccia Smith Hearing Site: New York, NY		Expungement
11-03436	01/28/2013	Claimant(s): Kristin Farrell, Terence Farrell Claimant Lawyers(s): Patrick S. Williams Respondent(s): David Kinnear, UBS Financial Services Inc. Respondent Lawyers(s): Kathryn Dietrich Perreault Arbitrator(s): Lawrence J. Welte, Joan L. Volz, Debra Jean Griebel Hearing Site: Minneapolis, MN		Expungement