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FINRA Awards for Sarah K. Yates

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Displaying 91-92 out of 92 results
Case Number Award Date Case Summary Customer Case? Amount Granted
17-0074210/16/2017Claimant(s): David Ciccone
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): Matthew Stephen Duchesne
Hearing Site: Washington, DC
17-0093208/09/2017Claimant(s): Charles Connant
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): Morton S. Bunis
Hearing Site: Newark, NJ

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