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FINRA Awards for Kathryn D. Perreault

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Displaying 41-50 out of 56 results
Case Number Award Date Case Summary Customer Case? Amount Granted
16-0186504/26/2018Claimant(s): Wilson Colberg Trigo
Claimant Lawyers(s): Enrique J. Mendoza-Mendez
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Carlos Bobonis, Kathryn D. Perreault
Arbitrator(s): Caryl S. Bernstein, Earle J. Schwarz, Orville Theodore McCormac
Hearing Site: San Juan, PR
17-0226104/17/2018Claimant(s): Elizabeth Angelone
Claimant Lawyers(s): Owen Harnett
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): Stephen A. Weiner
Hearing Site: New York, NY
17-0200903/21/2018Claimant(s): Christopher Cervantes
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): Joseph Neal Richardson
Hearing Site: Dallas, TX
17-0009010/23/2017Claimant(s): Thomas Gray
Claimant Lawyers(s): John A. Hubbard
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): Robert J. Scafuri
Hearing Site: Detroit, MI
16-0298508/07/2017Claimant(s): Kevin Kugley
Claimant Lawyers(s): Adam Charles Nicolai
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): Timothy L. Andrews, Jeffrey R. Jury, Brian James Tagtmeier
Hearing Site: Houston, TX
14-0282007/18/2017Claimant(s): Landon Marino, Shawn Walker, Travis Knapp, William Coffey
Claimant Lawyers(s): Samuel B. Edwards
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): Maurice J. Fallas, Allan R. Lazor, Shannon Lyn Mays
Hearing Site: Houston, TX
16-0313506/01/2017Claimant(s): Thomas Alessi
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Citigroup Global Markets., Banc of America Investment Services Inc., Merrill Lynch Pierce Fenner & Smith Inc., Quick & Reilly.
Respondent Lawyers(s): David I. Hantman, Kathryn D. Perreault
Arbitrator(s): James R. Collins
Hearing Site: Boston, MA
16-0306104/17/2017Claimant(s): Rolf Maile
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): Laurel Littman Gothelf
Hearing Site: Las Vegas, NV
16-0162512/12/2016Claimant(s): Scott Blair
Claimant Lawyers(s): Patrick Mahoney
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): Howard L. Sobel
Hearing Site: New York, NY
14-0260311/04/2016Claimant(s): Harry Hadden
Claimant Lawyers(s): Steven M McCauley
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): Gerald Cohen, Randall S. Strause, James Douglas Wilbanks
Hearing Site: Louisville, KY

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