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FINRA Awards for Stephen Andrew McCarthy

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Case Number Award Date Case Summary Customer Case? Amount Granted
22-0154609/28/2023Claimant(s): Eric Dolin
Claimant Lawyers(s): Wilmer D. Masterson
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Emma M. Tomsick
Arbitrator(s): Michele N. O'Brien, Stephen Andrew McCarthy, Bernardo S. Garza
Hearing Site: Houston, TX
21-0260302/16/2023Claimant(s): Estate of Gloria Elizondo Altamirano
Claimant Lawyers(s): Robert H. Rex
Respondent(s): LPL Financial LLC, Jose Cruz
Respondent Lawyers(s): Jack D. Ballard
Arbitrator(s): Brian James Tagtmeier, Stephen Andrew McCarthy, John Donahue Sullivan
Hearing Site: Houston, TX
Checkmark IconExpungement
19-0059201/14/2020Claimant(s): Bryan Parker, Jessica Valentine, Parker Family Trust
Claimant Lawyers(s): Joseph R. Marrs
Respondent(s): Interactive Brokers LLC
Respondent Lawyers(s): Carlos E. Provencio
Arbitrator(s): Lynne M. Gomez, Robert C. Rice, Stephen Andrew McCarthy
Hearing Site: Houston, TX
Checkmark Icon$0

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