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FINRA Awards for James A. McGovern

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Case Number Award Date Case Summary Customer Case? Amount Granted
19-0289903/26/2020Claimant(s): Louis Stough, Martin Guerra
Claimant Lawyers(s): James A. McGovern
Respondent(s): Reliance Worldwide Investments
Respondent Lawyers(s): Barry F. MacEntee
Arbitrator(s): Peter Ordower, Stuart D. Summers, Scott Hartnett Godish
Hearing Site: Chicago, IL
14-0239602/18/2016Claimant(s): Jonathan Freeze
Claimant Lawyers(s): Alan H. Perer
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): James A. McGovern
Arbitrator(s): James J. Puhala, John P. Abriola, Mark Alexander Sipper
Hearing Site: Pittsburgh, PA
09-0654502/10/2011Claimant(s): Empire Financial Group.
Claimant Lawyers(s): Todd A. Zuckerbrod
Respondent(s): Gregory Roper
Respondent Lawyers(s): James A. McGovern
Arbitrator(s): Edith N. Dinneen, George E. Bouse, Noel K. Evans
Hearing Site: Tampa, FL

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