FINRA Awards for Thomas E. Chase

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Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
15-03018	09/06/2017	Claimant(s): Bernard Chang, Erich Groos, Ira Shivitz, Jane Groos, Kelly Harwood, Melissa Goodman-Chang, Cornea Consultants of Nashville, PLLC Ca, PLLC Pr, Kelly Harwood Irrevocable Trust Claimant Lawyers(s): Thomas E. Chase Respondent(s): LPL Financial LLC, Kenneth Ford, Private Advisory Group. Respondent Lawyers(s): Amy Worrell Sterling, Michael A Brady Arbitrator(s): John G. Manley, Richard K. Smith, Robert Lane Arrington Hearing Site: Nashville, TN		$600
09-01057	01/18/2011	Claimant(s): Robert Micley, IRA, The Williamstown Anesthesia MPP Plan CH, The Williamstown Anesthesia MPP Plan DM, The Williamstown Anesthesia MPP Plan RM Claimant Lawyers(s): Kirk G. Smith Respondent(s): Bonnie Sachs, David Boutin, David Kaplan, Ralph Worthington, Robert Maley, Gilford Securities Incorporated Respondent Lawyers(s): Thomas E. Chase Arbitrator(s): William S. Tagerman, Deborah B. Haskell, Irene Scharf Hearing Site: Boston, MA		Stipulated Award and Expungement