Skip to main content

For updates and guidance related to COVID-19 / Coronavirus, click here.

02-04370-Award-NASD-20040818.pdf

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Anthony DeLucio i, i • and Case Number: 02-04370 Hearing Site: Chicago, IL Names of Respondents • Merrill Lynch, Pierce, Fenner& Smith, Inc., and Maureen Raihle NATURE OF CASE Customer v. Member and Associated Person REPRESENTATION OF PARTIES Anthony E. DeLucio ("Claimant") was represented by Barbara A. Mallon, Esq., Mallon