FINRA Awards for Stephen M. Cox

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Displaying 6 out of 6 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
19-01162	12/08/2021	Claimant(s): Timothy Ratty Claimant Lawyers(s): Curtis Carlson Respondent(s): Wells Fargo Clearing Services Respondent Lawyers(s): Stephen M. Cox Arbitrator(s): Lawrence S. Silver, Will Murphy, Anthony Oreste Arcuni Hearing Site: Boca Raton, FL
20-03080	02/05/2021	Claimant(s): Jeffrey Burton Claimant Lawyers(s): Clayton B. McCullough Respondent(s): Wells Fargo Advisors Financial Network Respondent Lawyers(s): Stephen M. Cox Arbitrator(s): John P. Cullem, Richard S. Zaifert, Christopher Cecil Lamb Hearing Site: Columbia, SC
20-01316	01/19/2021	Claimant(s): Shannon Cotter Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Wells Fargo Clearing Services Respondent Lawyers(s): Stephen M. Cox Arbitrator(s): Michael J. Ahlstrom Hearing Site: Charlotte, NC
19-00657	08/03/2020	Claimant(s): Lawrence Mickle Claimant Lawyers(s): Joshua A Katz Respondent(s): Wells Fargo Clearing Services Respondent Lawyers(s): Stephen M. Cox Arbitrator(s): Michael J. Ahlstrom, Christopher Cecil Lamb, Janice Helsley Blach Hearing Site: Columbia, SC
19-00012	11/05/2019	Claimant(s): Wallace Freemon Claimant Lawyers(s): Benjamin D. Ridings Respondent(s): Wells Fargo Clearing Services Respondent Lawyers(s): Stephen M. Cox Arbitrator(s): Robert H. Putnam, Fred Kelner, Joseph A Newcomb Hearing Site: Raleigh, NC
12-00742	10/17/2012	Claimant(s): Ronald Raines Claimant Lawyers(s): Stephen M. Cox Respondent(s): Eli Cantrell, Grace Cantrell Respondent Lawyers(s): Eli Cantrell, Grace E Cantrell Arbitrator(s): Jack C. Aycock, Lynne T. Albert, Laura A. Ledford Hearing Site: Charlotte, NC		Expungement