FINRA Awards for Robert H. Putnam

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Displaying 31-40 out of 45 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
10-04555	09/19/2011	Claimant(s): UBS Financial Services Inc. Claimant Lawyers(s): Michael W. Starr Respondent(s): Thomas Akins Respondent Lawyers(s): F. Scott Pfeiffer Arbitrator(s): Robert H. Putnam Hearing Site: Charlotte, NC
11-02557	08/29/2011	Claimant(s): Edward Jones Claimant Lawyers(s): Christoper A. Pickett Respondent(s): Joseph Emily, Judson Doster, Morgan Stanley, Richard Phelan Respondent Lawyers(s): M. Travis Foust, Michael D. Bressan Arbitrator(s): Robert H. Putnam, Robert C. Port, Joseph Keith Lombino Hearing Site: Atlanta, GA
10-03974	08/23/2011	Claimant(s): Morgan Stanley Claimant Lawyers(s): Brian R. Mills Respondent(s): William Griffin Respondent Lawyers(s): R. Hal Meeks Arbitrator(s): Robert H. Putnam, Patrick L. Bellantoni, Andy W. Morgan Hearing Site: Atlanta, GA
11-00151	08/04/2011	Claimant(s): Wells Fargo Advisors Claimant Lawyers(s): Renan I. Sugarman Respondent(s): Thomas Jones Respondent Lawyers(s): Thomas Marshall Jones Arbitrator(s): Robert H. Putnam Hearing Site: Houston, TX
10-03294	04/27/2011	Claimant(s): Morgan Stanley Claimant Lawyers(s): Kenneth O'Connor Respondent(s): Kevin Mccoy Respondent Lawyers(s): Kevin M. Mccoy Arbitrator(s): Robert H. Putnam Hearing Site: Houston, TX
10-04830	04/13/2011	Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc. Claimant Lawyers(s): Ken S. Massey Respondent(s): James Lanier Respondent Lawyers(s): James Ryan Lanier Arbitrator(s): Robert H. Putnam Hearing Site: Jacksonville, FL
10-03464	02/17/2011	Claimant(s): Ruth Goldstein Claimant Lawyers(s): Ruth D. Goldstein Respondent(s): James Webb, Kathi Mansfield, Cape Securities Inc. Respondent Lawyers(s): Melissa Malcom Arbitrator(s): Robert H. Putnam Hearing Site: Atlanta, GA
10-04611	02/17/2011	Claimant(s): Wells Fargo Advisors Claimant Lawyers(s): Kenneth O'Connor Respondent(s): Kenneth Lannigan Respondent Lawyers(s): Kenneth Lee Lannigan Arbitrator(s): Robert H. Putnam Hearing Site: Columbia, SC
10-03661	02/02/2011	Claimant(s): Wells Fargo Advisors Financial Network Claimant Lawyers(s): Gregory S. Tendrich Respondent(s): Lee Jenkins Respondent Lawyers(s): Lee Allen Jenkins Arbitrator(s): Robert H. Putnam Hearing Site: Atlanta, GA
10-01420	08/20/2010	Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc. Claimant Lawyers(s): Beth Delaney Respondent(s): Sherrey Harper Respondent Lawyers(s): Sherrey A. Harper Arbitrator(s): Robert H. Putnam Hearing Site: Houston, TX