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FINRA Awards for William H. Malloy

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Displaying 7 out of 7 results
Case Number Award Date Case Summary Customer Case? Amount Granted
13-0115302/25/2014Claimant(s): Joseph Cullen
Claimant Lawyers(s): Joseph Cullen
Respondent(s): Janice Suutala, Thrivent Investment Management Inc.
Respondent Lawyers(s): Peter J. Bado
Arbitrator(s): William H. Malloy
Hearing Site: Washington, DC
12-0046506/29/2012Claimant(s): Morgan Stanley, MSSB FA Notes Holdings
Claimant Lawyers(s): Brady J. Hermann
Respondent(s): Brendan O'brien
Respondent Lawyers(s): Brendan Patrick O'Brien
Arbitrator(s): William H. Malloy
Hearing Site: Baltimore, MD
11-0192804/24/2012Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward A. Walton
Respondent(s): Peter Oristian
Respondent Lawyers(s): Peter J. Oristian
Arbitrator(s): William H. Malloy
Hearing Site: Baltimore, MD
10-0468909/27/2011Claimant(s): Morgan Stanley
Claimant Lawyers(s): Todd Ratner
Respondent(s): Justin Barch
Respondent Lawyers(s): Justin R. Barch
Arbitrator(s): William H. Malloy
Hearing Site: Washington, DC
10-0190006/14/2011Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Andrew R. Park
Respondent(s): Robert Isom
Respondent Lawyers(s): John S. Pringle, Jr.
Arbitrator(s): William H. Malloy
Hearing Site: Columbia, SC
09-0461203/17/2010Claimant(s): Nhu-Ngoc Huynh
Claimant Lawyers(s): Nhu-Ngoc Huynh
Respondent(s): Princor Financial Services
Respondent Lawyers(s): Kenneth M. Kolaski
Arbitrator(s): William H. Malloy
Hearing Site: Washington, DC
Checkmark Icon$3,323
08-0340607/30/2009Claimant(s): Larry Overbay
Claimant Lawyers(s): Larry W. Overbay
Respondent(s): Danielle Newman, Robert Carpenter
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): William H. Malloy
Hearing Site: Baltimore, MD
Checkmark Icon$15,031

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