FINRA Awards for Richard E. Miley

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Displaying 6 out of 6 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
19-02937	06/12/2020	Claimant(s): Gerald Hanifan Claimant Lawyers(s): Dochtor Kennedy Respondent(s): The Investment Center., USA Financial Securities Corporation Respondent Lawyers(s): Douglas A. Wright, Joel T. Brusk Arbitrator(s): Richard E. Miley Hearing Site: Charlotte, NC
17-00438	11/21/2017	Claimant(s): Robert Carlson Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Questar Capital Corporation Respondent Lawyers(s): Jeffrey D. Hedlund Arbitrator(s): Richard E. Miley Hearing Site: Charlotte, NC
14-02268	03/09/2016	Claimant(s): Charles Dyer Claimant Lawyers(s): Robert G. McIver Respondent(s): James Brown, Kirk Smith, Raymond James Financial Services. Respondent Lawyers(s): Kenneth W. McAllister, Robert M. Rudnicki Arbitrator(s): Charles S. Clayton, Richard E. Miley, Stephen Gregg Ellis Hearing Site: Raleigh, NC
11-01047	03/29/2012	Claimant(s): Wells Fargo Advisors Claimant Lawyers(s): Jonathan E. Levine Respondent(s): William Flowers Respondent Lawyers(s): Steven C. Lawrence Arbitrator(s): Richard E. Miley Hearing Site: Raleigh, NC
11-01450	03/16/2012	Claimant(s): Cynthia Harman Claimant Lawyers(s): John B. Veach Respondent(s): Edward Jones Respondent Lawyers(s): James B. Spears Arbitrator(s): Richard E. Miley, Celeste A. Beron, Richard Timothy Curran Hearing Site: Charlotte, NC
10-05504	10/13/2011	Claimant(s): UBS Financial Services Inc. Claimant Lawyers(s): Michael T. Roche Respondent(s): Stuart Kimball Respondent Lawyers(s): Stuart K. Kimball Arbitrator(s): Richard E. Miley Hearing Site: Columbia, SC