FINRA Awards for C. Marcus Harris

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Displaying 4 out of 4 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
13-02520	03/04/2015	Claimant(s): Terry Hollar Claimant Lawyers(s): Roger N. Walter Respondent(s): Michael Gerken, Stephen Molen, Thrivent Investment Management Inc. Respondent Lawyers(s): Eric Martin Arbitrator(s): C. Marcus Harris, James F. Major, David M. Finkel Hearing Site: Charlotte, NC
13-03622	12/29/2014	Claimant(s): Raymond, James & Associates. Claimant Lawyers(s): John G. McDonald Respondent(s): Ronald Pyle Respondent Lawyers(s): Mark A. Nebrig Arbitrator(s): C. Marcus Harris, M. Bruce Adelberg, Walter J. Wylie Hearing Site: Columbia, SC
13-02917	04/04/2014	Claimant(s): Charles Moehrke Jr., Norris Cotton Claimant Lawyers(s): Charles Henry Moehrke, Norris Gates Cotton Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Randi Spallina Arbitrator(s): C. Marcus Harris, Celeste A. Beron, Paul Nicholas Inserra Hearing Site: Raleigh, NC
11-01739	08/28/2012	Claimant(s): Robert DePalo Claimant Lawyers(s): Andrew J. Goodman Respondent(s): Joseph Scire, Joyce Scire Respondent Lawyers(s): John E. Lawlor Arbitrator(s): C. Marcus Harris Hearing Site: Columbia, SC		Expungement