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FINRA Awards for William M. Dailey

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Case Number Award Date Case Summary Customer Case? Amount Granted
20-0323008/01/2022Claimant(s): Ryan Faley
Claimant Lawyers(s): William M. Dailey
Respondent(s): LPL Financial LLC, Joseph Gunnar & Co. LLC
Respondent Lawyers(s): Jon Kaplon, Peter Bon Viso
Arbitrator(s): Serge Krimnus
Hearing Site: New York, NY
20-0324303/10/2022Claimant(s): Shaun Hayes
Claimant Lawyers(s): William M. Dailey
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Laura A. Pizzitola
Arbitrator(s): David A. Schuler
Hearing Site: Dallas, TX
20-0163506/07/2021Claimant(s): Christ Baltas, Michael Chakos, Vincent Mangone
Claimant Lawyers(s): Liam O'Brien
Respondent(s): Worden Capital Management LLC, Jamie Worden
Respondent Lawyers(s): William M. Dailey
Arbitrator(s): Robert J. Kheel, Harvey Barrison, Jerome Bernard McDevitt
Hearing Site: New York, NY

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