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FINRA Awards for Kathryn M. Welsh

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Displaying 8 out of 8 results
Case Number Award Date Case Summary Customer Case? Amount Granted
12-0008411/22/2013Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Janelle E. Fulton
Respondent(s): Patrick Bray
Respondent Lawyers(s): W. Nelson Kirkland
Arbitrator(s): Thomas R. Carlsen, Kathryn M. Welsh, Terry L. Kors
Hearing Site: Tampa, FL
11-0152006/15/2012Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): James L. Komie
Respondent(s): Gustavo Del Valle
Respondent Lawyers(s): Harold D. Vicente-Colon
Arbitrator(s): Reinaldo Royo, Kathryn M. Welsh, Jeffrey R. Roth
Hearing Site: San Juan, PR
11-0051104/23/2012Claimant(s): Mark Emden, Mark Jerome Emden Traditional IRA Acct.
Claimant Lawyers(s): Howard B. Prossnitz
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Jamie L. Berger
Arbitrator(s): Kathryn M. Welsh, Jeffrey R Fuller, Gerald F. Gude
Hearing Site: Tampa, FL
Checkmark Icon$0
10-0079404/20/2012Claimant(s): Neil W. Savage Revocable Trust
Claimant Lawyers(s): Howard B. Prossnitz
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Peter S. Fruin
Arbitrator(s): Kathryn M. Welsh, Richard Manuel Barcia, Irwin Glazer
Hearing Site: Tampa, FL
Checkmark Icon$37,500
10-0468703/29/2012Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc., Merrill Lynch Group., Merrill Lynch International Finance
Claimant Lawyers(s): Kate S. Arduini
Respondent(s): Thomas Zur
Respondent Lawyers(s): Brian D. Buckstein
Arbitrator(s): Kathryn M. Welsh, James Conrad Sankpill, Renaldy Jose Gutierrez
Hearing Site: Miami, FL
10-0114112/13/2011Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc., Merrill Lynch International Finance
Claimant Lawyers(s): Jason K. Roberts
Respondent(s): Daniel Hudson
Respondent Lawyers(s): Bruce V Schewe
Arbitrator(s): Frederick H. Bruce, Lynne R. Stern, Kathryn M. Welsh
Hearing Site: New Orleans, LA
10-0268104/29/2011Claimant(s): Paul Ratzlaff, Paul H. Ratzlaff IRA
Claimant Lawyers(s): W. Andrew Clayton
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Tracy L. Gerber
Arbitrator(s): Kathryn M. Welsh, Lawrence Gray Sanders, Irwin Glazer
Hearing Site: Tampa, FL
Checkmark Icon$0
09-0435410/15/2010Claimant(s): Jane Nave, William Nave, Jane Nave Revocable Living Trust, William Nave Revocable Living Trust
Claimant Lawyers(s): Philip J. Synderburn
Respondent(s): Suntrust Investment Services.
Respondent Lawyers(s): Frederick S. Schrills
Arbitrator(s): Kathryn M. Welsh, Linda M. Pierson, John Frank Bauder
Hearing Site: Tampa, FL
Checkmark IconExpungement

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