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FINRA Awards for Derek Rosenberg

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Case Number Award Date Case Summary Customer Case? Amount Granted
19-0282506/10/2020Claimant(s): Derek Rosenberg
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): W. Preston Martin
Arbitrator(s): Kirtley M. Thiesmeyer
Hearing Site: Las Vegas, NV
19-0280105/08/2020Claimant(s): Derek Rosenberg
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): A. G. Edwards & Sons.
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Andrew M. Mintzer
Hearing Site: Las Vegas, NV

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