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FINRA Awards for Steven Moreno

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Case Number Award Date Case Summary Customer Case? Amount Granted
19-0131902/05/2020Claimant(s): Steven Moreno
Claimant Lawyers(s): Paul W. Thomas
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jacqueline R. Meyers
Arbitrator(s): John E. Ohashi, Jack R. Goetz, Adam Michael Porter
Hearing Site: Los Angeles, CA
17-0259804/09/2019Claimant(s): Steven Moreno
Claimant Lawyers(s): Paul W. Thomas
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): T. Peter R. Pound
Arbitrator(s): Thomas E. Shuck, Lori A. Coleman, Steven H. Gentry
Hearing Site: Los Angeles, CA
Checkmark IconDismissed by Rule 12206/12504

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