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FINRA Awards for Francis Henry Dong

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Case Number Award Date Case Summary Customer Case? Amount Granted
20-0255512/28/2021Claimant(s): Cheryl E. Amyx Living Trust U/A 11/7/05
Claimant Lawyers(s): W. Scott Greco
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Rebecca K. Lindahl
Arbitrator(s): Sheila D. Collins, Matthew Stephen Duchesne, Francis Henry Dong
Hearing Site: Washington, DC
Checkmark Icon$299,899
20-0362711/16/2021Claimant(s): David Bolls
Claimant Lawyers(s): Jonathan Bolls
Respondent(s): Fidelity Brokerage Services LLC, National Financial Services LLC
Respondent Lawyers(s): Nikolas S. Komyati
Arbitrator(s): Richard P. Regan, Francis Henry Dong, Richard J Thomas
Hearing Site: Washington, DC
Checkmark Icon$0
20-0036008/05/2021Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney Financing LL
Claimant Lawyers(s): Bruce Lewitas
Respondent(s): Robert Satterfield
Respondent Lawyers(s): Dave Scher
Arbitrator(s): David Paul Clark, Geoffrey A. Drucker, Francis Henry Dong
Hearing Site: Washington, DC

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