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FINRA Awards for Charles A. Joplin

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Displaying 6 out of 6 results
Case Number Award Date Case Summary Customer Case? Amount Granted
15-0126711/23/2015Claimant(s): Wunderlich Securities.
Claimant Lawyers(s): Mark D. Griffin
Respondent(s): April Morris-Spicer
Respondent Lawyers(s): April C. Morris-Spicer
Arbitrator(s): Charles A. Joplin
Hearing Site: Dallas, TX
13-0235003/13/2014Claimant(s): Sterne Agee & Leach.
Claimant Lawyers(s): Kelly Brennan Bolvig
Respondent(s): James Schwalbe
Respondent Lawyers(s): James Schwalbe
Arbitrator(s): Charles A. Joplin
Hearing Site: Dallas, TX
12-0409108/09/2013Claimant(s): Mark Dubel
Claimant Lawyers(s): Michael A. Kalish
Respondent(s): Dallas Blagg, Robin Ward-Blagg
Respondent Lawyers(s): Jason A. Archinaco
Arbitrator(s): Charles A. Joplin
Hearing Site: Dallas, TX
Expungement
11-0296404/19/2012Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Megan A. Smith
Respondent(s): Misti Pope
Respondent Lawyers(s): Misti Lee Pope
Arbitrator(s): Charles A. Joplin
Hearing Site: Dallas, TX
11-0122810/05/2011Claimant(s): Morgan Stanley
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Bruce Lanahan
Respondent Lawyers(s): Bruce G. Lanahan
Arbitrator(s): Charles A. Joplin
Hearing Site: Dallas, TX
10-0504106/03/2011Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Megan A. Smith
Respondent(s): Joseph Bazbaz
Respondent Lawyers(s): Joseph Bazbaz
Arbitrator(s): Charles A. Joplin
Hearing Site: Dallas, TX

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