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FINRA Awards for Rachael Carp

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Case Number Award Date Case Summary Customer Case? Amount Granted
13-0097709/13/2013Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Rachael Carp
Respondent(s): Scott Nicol
Respondent Lawyers(s): Scott Cameron Nicol
Arbitrator(s): Benjamin A. Kerner
Hearing Site: Detroit, MI
11-0473604/05/2013Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Rachael Carp
Respondent(s): Kaream White
Respondent Lawyers(s): Kaream Hassan White
Arbitrator(s): William M. Howard
Hearing Site: Phoenix, AZ
12-0112804/03/2013Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc., Merrill Lynch International Finance
Claimant Lawyers(s): Rachael Carp
Respondent(s): Amy Notermann
Respondent Lawyers(s): Amy Notermann
Arbitrator(s): Douglas J. Nesbit
Hearing Site: Minneapolis, MN
11-0382508/08/2012Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Rachael Carp
Respondent(s): Brian Sak
Respondent Lawyers(s): William S. Bazianos
Arbitrator(s): Michael S. Matek
Hearing Site: Chicago, IL
08-0312603/23/2009Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Rachael Carp
Respondent(s): Michael Cox
Respondent Lawyers(s): Michael D. Cox
Arbitrator(s): Lowell D. Johnston
Hearing Site: New York, NY

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