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FINRA Awards for James G. Kirk

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Case Number Award Date Case Summary Customer Case? Amount Granted
13-0292909/23/2014Claimant(s): James Kirk
Claimant Lawyers(s): Christopher P. Parrington
Respondent(s): Frank Mccarthy, Ameriprise Financial Services.
Respondent Lawyers(s): Julie Fleming-Wolfe
Arbitrator(s): Gerald M. Gifford, Emily B. Boote, Robert S. Burk
Hearing Site: Minneapolis, MN
10-0459005/24/2012Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Douglas W. Hyman
Respondent(s): James Reim
Respondent Lawyers(s): Vicki Kuftic Horne
Arbitrator(s): Barry Goldman, Paul H. McKenna, James G. Kirk
Hearing Site: Pittsburgh, PA
10-0113008/05/2011Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Jeffrey M. Csercsevits
Respondent(s): Vincent Ross
Respondent Lawyers(s): Vincent Ross
Arbitrator(s): Lee Hornberger, Justin Henry McCarthy, James G. Kirk
Hearing Site: Pittsburgh, PA

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