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FINRA Awards for Susan M. Kelleher

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Case Number Award Date Case Summary Customer Case? Amount Granted
20-0149312/17/2020Claimant(s): Dennis Hall
Claimant Lawyers(s): Susan M. Kelleher
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): Linda J. Baer
Hearing Site: Jersey City, NJ
19-0198712/20/2019Claimant(s): David McIlroy
Claimant Lawyers(s): Susan M. Kelleher
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Tiana M. Towns
Arbitrator(s): Gerald M. Levine
Hearing Site: New York, NY
17-0316301/14/2019Claimant(s): Jamie Sorenson, Kevin Sorenson, Ashlan Sorenson, Tanner A. Sorenson
Claimant Lawyers(s): Richard H. Elliott
Respondent(s): Foresters Financial Services.
Respondent Lawyers(s): Susan M. Kelleher
Arbitrator(s): Joseph Neal Richardson
Hearing Site: Dallas, TX
Checkmark IconDismissed by Rule 12206

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