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FINRA Awards for Thomas O'Connor

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Case Number Award Date Case Summary Customer Case? Amount Granted
10-0248908/09/2011Claimant(s): The Estate of Charles Daniels, Charles Daniels Trust, Daniels Family Trust
Claimant Lawyers(s): Thomas O'Connor
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., William Tomes
Respondent Lawyers(s): Dana S. Gloor
Arbitrator(s): Robert F. Sanville, Vernon C. Walker, John W. Lear
Hearing Site: Philadelphia, PA
Checkmark IconExpungement

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