FINRA Awards for Robert H. Putnam

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Displaying 41-45 out of 45 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
09-05916	08/05/2010	Claimant(s): David Miller Claimant Lawyers(s): William G. Leonard Respondent(s): Ameriprise Financial Services. Respondent Lawyers(s): Julie Fleming-Wolfe Arbitrator(s): Robert H. Putnam, George S. Willingham, Wallace T. Tanksley Hearing Site: Atlanta, GA
09-06178	02/26/2010	Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc. Claimant Lawyers(s): Jeffrey M. Csercsevits Respondent(s): David Raack Respondent Lawyers(s): David Raack Arbitrator(s): Robert H. Putnam Hearing Site: Houston, TX
08-00158	09/03/2009	Claimant(s): Nilmaris Cardona Claimant Lawyers(s): Paul Vilaro Nelms Respondent(s): David Lugo Sanchez, UBS Financial Services Incorporated of P Respondent Lawyers(s): Carlos Bobonis-Gonzalez Arbitrator(s): Robert H. Putnam, Alan B. Goldstein, Edward Arthur Horton Hearing Site: San Juan, PR
08-01044	06/25/2009	Claimant(s): Gerald Benjamin Claimant Lawyers(s): Andrew J. Bernstein Respondent(s): Navigant Capital Advisors, Navigant Consulting. Respondent Lawyers(s): Phillip M. Goldberg Arbitrator(s): Robert H. Putnam, Lawrence M. Oberdank, Susan Klaine Hughes Hearing Site: Atlanta, GA
06-04598	08/08/2007	Claimant(s): SunTrust Banks., SunTrust Capital Markets., SunTrust Investment Services. Claimant Lawyers(s): David L. Balser Respondent(s): Frederick Ross Respondent Lawyers(s): Steven J. Gard Arbitrator(s): Robert H. Putnam, Chesley V. Morton, J. G. Long Hearing Site: Atlanta, GA