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FINRA Awards for Lawrence Duffy

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Case Number Award Date Case Summary Customer Case? Amount Granted
07-0253707/27/2009Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): D. Daxton White
Respondent(s): Frederick Kelleher
Respondent Lawyers(s): Lawrence Duffy
Arbitrator(s): Linda M. Granata, Robert H. Loevin, James A. Collins
Hearing Site: Boca Raton, FL
08-0091102/04/2009Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): D. Daxton White
Respondent(s): Ladd Aliff
Respondent Lawyers(s): Lawrence Duffy
Arbitrator(s): Ralph H. Emer, Richard E. Conner, Robert J. Saex
Hearing Site: Boca Raton, FL

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