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FINRA Awards for Agee & Leach.

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Displaying 5 out of 5 results
Case Number Award Date Case Summary Customer Case? Amount Granted
14-0085511/10/2014Claimant(s): Nathan Bedell
Claimant Lawyers(s): M. Lee Johnsey
Respondent(s): Sterne, Agee & Leach.
Respondent Lawyers(s): Kelly Brennan Bolvig
Arbitrator(s): Paul Lilling, Daniel P. Lund, Robert G. Bannon
Hearing Site: Orlando, FL
Expungement
09-0017511/01/2010Claimant(s): James Fellus
Claimant Lawyers(s): Jonathan Sack
Respondent(s): Sterne, Agee & Leach.
Respondent Lawyers(s): Latanishia D. Watters
Arbitrator(s): James Francis Donovan, Todd Edward Phillips, J. Wesley Romine
Hearing Site: Birmingham, AL
09-0017606/28/2010Claimant(s): Kevin Dirussa
Claimant Lawyers(s): Jonathan Sack
Respondent(s): Sterne, Agee & Leach.
Respondent Lawyers(s): Stephen L. Poer
Arbitrator(s): Louis H. Miron, Marvin Schleyer, Daniel P. Lund
Hearing Site: Newark, NJ
07-0072403/07/2008Claimant(s): Michael Bodino, Paul Westervelt, Coker, Palmer, Phillips & Mullen.
Claimant Lawyers(s): E. Barney Robinson
Respondent(s): Sterne, Agee & Leach.
Respondent Lawyers(s): Patricia C. Diak
Arbitrator(s): Frederick S. Duncan, David T. Maddux, Kenneth I. Daniels
Hearing Site: Jackson, MS
06-0304812/24/2007Claimant(s): Adam Aspes, Catherine Lesterhuis, Curtis Thompson, Jacob Morton, Scott Hootman
Claimant Lawyers(s): Latanishia D. Watters
Respondent(s): Brian Foley, Daniel Joyce, Michael Braun, William Devin Jr., Moor & Cabot Inc., Sal Financial Services., d/b/a Ster, Sterne Agee Capital Markets., Sterne, Agee & Leach.
Respondent Lawyers(s): Latanishia D. Watters, Sander A. Rikleen
Arbitrator(s): Paul J. Camilleri, David Finnegan, John F. Duane
Hearing Site: New York, NY

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