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FINRA Awards for James S. Carlson

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Case Number Award Date Case Summary Customer Case? Amount Granted
08-0094401/11/2010Claimant(s): Wells Fargo Investments
Claimant Lawyers(s): Thomas A. Volz
Respondent(s): Sue Lee
Respondent Lawyers(s): Robert J. Girard
Arbitrator(s): Audrey H. Ruben, James S. Carlson, Marc S. Joseph
Hearing Site: Los Angeles, CA
05-0516509/08/2008Claimant(s): Edward Martell
Claimant Lawyers(s): Kevin J. Hizon
Respondent(s): Calvin Garvin, Rod Kamps, Financial Advisors Network.
Respondent Lawyers(s): Kevin E. Monson
Arbitrator(s): Douglas J. Rovens, Mark A. Levy, James S. Carlson
Hearing Site: Los Angeles, CA

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