FINRA Awards for James M. Stern

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Displaying 4 out of 4 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
22-00559	01/31/2023	Claimant(s): David Brooks Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Cardinal Investments. Respondent Lawyers(s): Timothy C. Stubblefield Arbitrator(s): James M. Stern Hearing Site: St. Louis, MO
12-00766	07/18/2013	Claimant(s): U.S. Bancorp Investments. Claimant Lawyers(s): Kevin J. Smith Respondent(s): Matthew Kallman Respondent Lawyers(s): David R. Bohm Arbitrator(s): Michael S. Hill, James M. Stern, Alan A. Sachs Hearing Site: St. Louis, MO
09-02264	07/22/2011	Claimant(s): Smith, Moore & Co. Claimant Lawyers(s): Bruce D. Oakes Respondent(s): J.P. Morgan Securities Respondent Lawyers(s): Michael P. Manley Arbitrator(s): Frederick Michael Switzer, James M. Stern, David A. Fingerhut Hearing Site: St. Louis, MO
09-06001	12/31/2010	Claimant(s): Hans-Dieter Neuen Claimant Lawyers(s): Ira M. Potter Respondent(s): Equity Concepts., Smith, Moore & Co. Respondent Lawyers(s): Daniel E. Diemer, M. Jane Matoesian Arbitrator(s): Keith E. Mattern, Joseph P. Keaveny, James M. Stern Hearing Site: St. Louis, MO