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FINRA Awards for Douglas K. Spaulding

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Case Number Award Date Case Summary Customer Case? Amount Granted
10-0443204/03/2012Claimant(s): Meri Ramazio, Tamara Smolchek
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Douglas K. Spaulding
Arbitrator(s): Harriet A. Kottick, Bonnie A. Pearce, Fred Abramoff
Hearing Site: Boca Raton, FL
09-0276901/29/2010Claimant(s): Robert I. Simon, M.D.
Claimant Lawyers(s): John M. Fedders
Respondent(s): Benjamin White, John Clardy, Thomas Wallace, Johnston, Lemon & Co. Incorporated
Respondent Lawyers(s): Douglas K. Spaulding, Joseph A. Ingrisano
Arbitrator(s): Edward M. Statland, Arnold Samuel Tesh, Wilson Thompson
Hearing Site: Washington, DC
Checkmark Icon$175,000
08-0422510/27/2009Claimant(s): Almas Temple A.A.O.N.M.S.
Claimant Lawyers(s): Janet K. DeCosta
Respondent(s): M&T Securities.
Respondent Lawyers(s): Douglas K. Spaulding
Arbitrator(s): Steven R. Bralove, Michael J. Henke, Olivia Milbank Farrar
Hearing Site: Washington, DC
Checkmark Icon$0

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