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FINRA Awards for Emerson R. Marks

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Case Number Award Date Case Summary Customer Case? Amount Granted
08-0025005/06/2009Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Jason Berrisford
Respondent Lawyers(s): Jason R. Berrisford
Arbitrator(s): Emerson R. Marks, Tully C. Tupper, Michael W. Hultzapple
Hearing Site: Richmond, VA
05-0636909/21/2007Claimant(s): Davenport Alley Partnership
Claimant Lawyers(s): Steven S. Biss
Respondent(s): National Securities Corporation, Steve Taton
Respondent Lawyers(s): Mark Roth, William G. Shields
Arbitrator(s): Anne W. Larkin, Emerson R. Marks, W. Scott Greco
Hearing Site: Richmond, VA
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