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FINRA Awards for Banc Of America Securities LLC

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Case Number Award Date Case Summary Customer Case? Amount Granted
08-0495303/24/2011Claimant(s): Ahmass Fakahany
Claimant Lawyers(s): Eric Seiler
Respondent(s): Ann Reese, Armando Codina, John Finnegan, John Thain, Joseph Prueher, Merrill Lynch Pierce Fenner & Smith Inc., Banc Of America Securities LLC, Bank of America Corporation, MER Merger Corporation, Merrill Lynch & Co..
Respondent Lawyers(s): Scott Musoff
Arbitrator(s): Alfred H. Kingon, Martin A. Edelstein, Thomas M. Amadio
Hearing Site: New York, NY
08-0085202/11/2010Claimant(s): Multi-Financial Securities Corporation
Claimant Lawyers(s): Shannon L. McDougald
Respondent(s): Angel Chi, Banc Of America Securities LLC
Respondent Lawyers(s): Angel Chi, Robert J. Anello
Arbitrator(s): Dennis R. Frohlich, Bradford J. Lam, Martha Jeanne Wilcoxson
Hearing Site: Denver, CO

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