FINRA Awards for James J. Puhala

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Displaying 4 out of 4 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
14-02396	02/18/2016	Claimant(s): Jonathan Freeze Claimant Lawyers(s): Alan H. Perer Respondent(s): LPL Financial LLC Respondent Lawyers(s): James A. McGovern Arbitrator(s): James J. Puhala, John P. Abriola, Mark Alexander Sipper Hearing Site: Pittsburgh, PA
11-02404	11/22/2013	Claimant(s): Edward Jones Claimant Lawyers(s): Christopher A. Pickett Respondent(s): Benjamin Alexander, Wells Fargo Advisors Financial Network, Erica Fendlay Respondent Lawyers(s): Christopher A. Pickett, Meredith Cavallaro, Thomas B. Lewis Arbitrator(s): N. John Marinack, James J. Puhala, Peter Vincent Marcoline Hearing Site: Pittsburgh, PA
10-00380	04/07/2011	Claimant(s): Christopher Hutchinson Claimant Lawyers(s): Brian J. Sommer Respondent(s): Ameriprise Financial Services. Respondent Lawyers(s): Edward B. Magarian Arbitrator(s): Paul H. McKenna, Kathleen K. Murphy, James J. Puhala Hearing Site: Pittsburgh, PA
04-04184	01/06/2011	Claimant(s): Cheryl Schwarzwaelder Claimant Lawyers(s): Joseph H. Chivers Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Michael J. Fortunato Arbitrator(s): Bert S Cliff, James J. Puhala, Rebecca A. Bowman Hearing Site: Pittsburgh, PA