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FINRA Awards for Mary K. Flask

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Case Number Award Date Case Summary Customer Case? Amount Granted
13-0206203/10/2015Claimant(s): Brian Lehner
Claimant Lawyers(s): Brian J Laliberte
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Eliott R. Good
Arbitrator(s): Richard W. Dissen, Mary K. Flask, Dieter Domanovic
Hearing Site: Cleveland, OH
11-0288607/09/2012Claimant(s): George Foster
Claimant Lawyers(s): George Foster
Respondent(s): Shawn Baldwin, CMG Institutional Trading LLC
Respondent Lawyers(s): Shawn Derrick Baldwin, Shawn Baldwin
Arbitrator(s): Beth Rackley Hesselson, Mary K. Flask, Carol Jean Bader
Hearing Site: Cleveland, OH
Checkmark Icon$100,500
10-0080607/19/2011Claimant(s): Steven Auxter
Claimant Lawyers(s): Jon J. Pinney
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Michael N. Ungar
Arbitrator(s): James A. Laurenson, Gregory P. Szuter, Mary K. Flask
Hearing Site: Cleveland, OH

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