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FINRA Awards for Merle D. Rockwell

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Case Number Award Date Case Summary Customer Case? Amount Granted
09-0659008/02/2011Claimant(s): Ameriprise Advisor Services.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Franklin Hill
Respondent Lawyers(s): Franklin Hill
Arbitrator(s): Merle D. Rockwell, Yvette C. Hatfield, Gene E. Godley
Hearing Site: Washington, DC
09-0556802/22/2011Claimant(s): Nicole Secrest, William F. Runge IRA, Trust Created fbo Nicole A. Secrest, William F. Runge Revocable Trust
Claimant Lawyers(s): W. Scott Greco
Respondent(s): Citigroup Global Markets., Morgan Stanley
Respondent Lawyers(s): Nikolas Komyati
Arbitrator(s): William H. Malloy, Merle D. Rockwell, Douglas Earl McLaren
Hearing Site: Washington, DC
Checkmark Icon$124,156

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