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FINRA Awards for Christopher T. O'Connor

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Case Number Award Date Case Summary Customer Case? Amount Granted
09-0236511/17/2010Claimant(s): Thomas J. Hillman Family Trust
Claimant Lawyers(s): Mark E. Goodman
Respondent(s): Bernard King, UBS Financial Services Inc.
Respondent Lawyers(s): Christopher T. O'Connor
Arbitrator(s): Gerald Cohen, Thomas J. Ray, Jennifer McGillivary
Hearing Site: St. Louis, MO
Checkmark Icon$100,000
09-0327102/12/2010Claimant(s): Estate of Roger D. Emling
Claimant Lawyers(s): Christopher T. O'Connor
Respondent(s): UMB Financial Services.
Respondent Lawyers(s): Donald D. McBride
Arbitrator(s): Anthony J. Soukenik, Julie L. DeWitt, James M. Stern
Hearing Site: St. Louis, MO
Checkmark Icon$0
08-0368212/15/2009Claimant(s): Saxony Securities.
Claimant Lawyers(s): Christopher T. O'Connor
Respondent(s): Craig Langweiler
Respondent Lawyers(s): Craig G. Langweiler
Arbitrator(s): Linda T. Pellegrino, Joan M. Traub, Robert J. Gorgia
Hearing Site: Newark, NJ

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