FINRA Awards for Randi P. Spallina

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Displaying 11-16 out of 16 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
17-00941	11/14/2017	Claimant(s): Joseph Seidler Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Randi P. Spallina Arbitrator(s): Arocles Aguilar Hearing Site: San Francisco, CA
17-00555	11/03/2017	Claimant(s): J. Coghlan Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Randi P. Spallina Arbitrator(s): Mark R. Lee Hearing Site: San Diego, CA
17-00509	10/13/2017	Claimant(s): Scott Hood Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Randi P. Spallina Arbitrator(s): Mark R. Lee Hearing Site: San Diego, CA
17-00293	09/08/2017	Claimant(s): Michelle Peng Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Banc of America Investment Services Inc. Respondent Lawyers(s): Randi P. Spallina Arbitrator(s): Laurel Littman Gothelf Hearing Site: San Francisco, CA
16-01367	01/17/2017	Claimant(s): Richard Zinman Claimant Lawyers(s): Patrick Mahoney Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Randi P. Spallina Arbitrator(s): Robert A. Lombardi Hearing Site: Los Angeles, CA
11-01335	01/07/2013	Claimant(s): Catherine Cox, William Cox, William E. Cox Irrevocable Trust Claimant Lawyers(s): Scott L. Silver Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Randi P. Spallina Arbitrator(s): Mauricio Arcadier, Robert J. Buchner, Scott Louis Fishman Hearing Site: Boca Raton, FL		Expungement