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FINRA Awards for James Walsh

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Case Number Award Date Case Summary Customer Case? Amount Granted
10-0208311/07/2011Claimant(s): Marc Oliver
Claimant Lawyers(s): Marc A. Oliver
Respondent(s): Burke Dambly, James Gregath, James Walsh, Private Asset Holdings., Select Capital Corporation
Respondent Lawyers(s): Burke A. Dambly
Arbitrator(s): Peter D. Steinbroner, James M. Goldberg, William Lee Krantz
Hearing Site: Los Angeles, CA
05-0115308/24/2007Claimant(s): Burke Dambly, Cindy Chiu, Corbin Thomas, James Walsh, Linda Bak, Robert Horning, Troy Thomas
Claimant Lawyers(s): Michael Blumenfeld
Respondent(s): Michael Upton, Direct Capital Securities., MCL Financial Group., Upton Financial Services.
Respondent Lawyers(s): Clay Womack, Theodore Peters
Arbitrator(s): Barbara M. Zak, Dorothy B. Strackbein, Janice A. Salter
Hearing Site: Los Angeles, CA

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