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FINRA Awards for Thomas L. Maschmeyer

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Case Number Award Date Case Summary Customer Case? Amount Granted
14-0310208/31/2017Claimant(s): Estate of Margie R. Gerrard
Claimant Lawyers(s): Scott T. Beall
Respondent(s): James Gunn, Louis Zemek, Edward Jones
Respondent Lawyers(s): Clinton J. Simpson, Roy O. Parker
Arbitrator(s): Thomas L. Maschmeyer, Patricia Best Vital, Walter Phillip Scott
Hearing Site: Memphis, TN
Expungement
10-0526102/15/2012Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Janell M. Ahnert
Respondent(s): Rosalyn Gray
Respondent Lawyers(s): Rosalyn Gray
Arbitrator(s): Thomas L. Maschmeyer, Hal F. Lewis, Mark A. Myers
Hearing Site: Memphis, TN
09-0179612/01/2010Claimant(s): Allen Graber, Bertram Barnett, Robert Yarbrough, Robert L. Cockroft and Kathy C. Cockroft, Bittjal Partners
Claimant Lawyers(s): Robert A. Uhl
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Richard Szuch
Arbitrator(s): Thomas L. Maschmeyer, P. Drake Mann, Yvonia A. Foster
Hearing Site: Memphis, TN
Checkmark Icon$2,428,030
07-0150410/02/2008Claimant(s): RBC Dain Rauscher Inc.
Claimant Lawyers(s): Donald S. Arbour
Respondent(s): Joe Jennings, RBC Capital Markets Corporation
Respondent Lawyers(s): John R. Jacobson, Philip B. Seaton
Arbitrator(s): Thomas L. Maschmeyer, J. Maxwell Williams, Joseph R. Heinz
Hearing Site: Memphis, TN

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