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FINRA Awards for Ann C. Northern

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Case Number Award Date Case Summary Customer Case? Amount Granted
24-0161310/24/2024Claimant(s): LPL Financial LLC
Claimant Lawyers(s): David J. Sensenig
Respondent(s): Laurence Rollins
Respondent Lawyers(s): Laurence Charles Rollins
Arbitrator(s): Ann C. Northern
Hearing Site: New York, NY
12-0331411/25/2014Claimant(s): Egerton Bullock
Claimant Lawyers(s): Ann C. Northern
Respondent(s): Citigroup Global Markets., Morgan Stanley
Respondent Lawyers(s): William Hohauser
Arbitrator(s): Frank M. Suttell, Judith P. Brooks, Patricia A. DeWitt
Hearing Site: New York, NY
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