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FINRA Awards for Richard J. Fuller

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Displaying 9 out of 9 results
Case Number Award Date Case Summary Customer Case? Amount Granted
18-0185107/08/2019Claimant(s): James Springer
Claimant Lawyers(s): Craig Stein
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Lloyd B. Chinn
Arbitrator(s): Richard J. Fuller, Sharon Lee Chernin, James Mathieu
Hearing Site: Tampa, FL
15-0127903/27/2017Claimant(s): Mauricio Cardenas
Claimant Lawyers(s): Chase Carlson
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Steven A. Siegel
Arbitrator(s): Richard J. Fuller, Clarence B. Johnson, CLU, ChFC, Sammia Pratt
Hearing Site: Orlando, FL
14-0007908/05/2015Claimant(s): Cor Clearing LLC
Claimant Lawyers(s): Bruce W. Barnes
Respondent(s): David Jarvis
Respondent Lawyers(s): Debra A. Jenks
Arbitrator(s): Carole M. Crosby, Richard J. Fuller, Daniel B. Daugherty
Hearing Site: Tampa, FL
13-0081604/17/2014Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes LLC
Claimant Lawyers(s): Laura J. Starr
Respondent(s): Jay Fratello
Respondent Lawyers(s): Jesse M. Tilden
Arbitrator(s): Richard J. Fuller
Hearing Site: Orlando, FL
10-0111105/11/2011Claimant(s): Charles Raney
Claimant Lawyers(s): Curtis Carlson
Respondent(s): SunTrust Robinson Humphrey.
Respondent Lawyers(s): Frederick S. Schrils
Arbitrator(s): Richard J. Fuller, Greg Knight, Raymond E. Cornelius
Hearing Site: Orlando, FL
09-0427402/28/2011Claimant(s): Marc Miller
Claimant Lawyers(s): George L. Guerra
Respondent(s): Edward Jones
Respondent Lawyers(s): Jason Haselkorn
Arbitrator(s): Richard J. Fuller, Mary T. Hettig, Gerald F. Gude
Hearing Site: Tampa, FL
09-0244404/29/2010Claimant(s): Jamie Hines
Claimant Lawyers(s): Robert Persante
Respondent(s): Ronald Giovino, GWN Securities Inc., Tax Shelter America.
Respondent Lawyers(s): Bruce W. Barnes, Jonathan B. Butler
Arbitrator(s): Richard J. Fuller, Arthur L. Tepper, William H. McCullough
Hearing Site: Clearwater, FL
07-0288012/16/2008Claimant(s): Michael Cooper
Claimant Lawyers(s): Michael Cooper
Respondent(s): Michael Shuckerow, Citistreet Advisors LLC
Respondent Lawyers(s): James H. McQuade
Arbitrator(s): Lewis W. Slaughter, Charles R. Tindell, Richard J. Fuller
Hearing Site: Orlando, FL
06-0416504/28/2008Claimant(s): Johnnie Lloyd
Claimant Lawyers(s): Tarya A. Tribble
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): Joseph L. Larrinaga
Arbitrator(s): Beverly S. Gordon, Richard J. Fuller, David L. Walby
Hearing Site: Tampa, FL

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