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FINRA Awards for Exec/Ben.,Est.

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Case Number Award Date Case Summary Customer Case? Amount Granted
14-0015112/15/2015Claimant(s): Eva C. Sarraga-Venegas, Ben. of Est. of, Jose F. Sarraga-Venegas, Exec/Ben.,Est., Laura I. Sarraga-Venegas, Ben. of Est. o
Claimant Lawyers(s): Edward H. Glenn
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Keith Olin
Arbitrator(s): Steven P. Gregory, Carolyn E. Moore, Alan M. Holzberg
Hearing Site: San Juan, PR
Checkmark IconExpungement

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