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FINRA Awards for Gale A. Pfund and Margery S. Pfund

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Case Number Award Date Case Summary Customer Case? Amount Granted
11-0450910/31/2013Claimant(s): Gale A. Pfund and Margery S. Pfund
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Tara A. LaClair
Arbitrator(s): Richard B. Bullock, Kenneth W. Gosliner, Alden Sharp Adkins
Hearing Site: San Francisco, CA
Checkmark IconExpungement

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