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FINRA Awards for Joshua Heapes

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Case Number Award Date Case Summary Customer Case? Amount Granted
19-0377201/09/2023Claimant(s): Joshua Heapes
Claimant Lawyers(s): Jeremy L. Bartell
Respondent(s): Chad Troester, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Christopher S. Koller
Arbitrator(s): Nelson P. Lovins, Denise L. Presley, Michael P. Breton
Hearing Site: Boston, MA

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