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FINRA Awards for James L. Warren

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Case Number Award Date Case Summary Customer Case? Amount Granted
16-0275912/28/2018Claimant(s): Denise Badgerow
Claimant Lawyers(s): Amanda J. Butler
Respondent(s): Gregory Walters, Ameriprise Financial Services., Ray Trosclair, Thomas Meyer
Respondent Lawyers(s): Claude F. Reynaud, Melissa Raphan, Thomas A. Roberts
Arbitrator(s): James L. Warren, Mario Alberto Arteaga, Joseph Michael Prisco
Hearing Site: New Orleans, LA
16-0132802/15/2018Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Note Hold
Claimant Lawyers(s): Douglas W. Hyman
Respondent(s): James Taylor
Respondent Lawyers(s): James Crosby Taylor
Arbitrator(s): Robert A. Dean, James L. Warren, John Andrew Johnson
Hearing Site: Birmingham, AL
16-0091705/02/2017Claimant(s): Edward Jones
Claimant Lawyers(s): Christopher A. Pickett
Respondent(s): Dudley Dupuis, Wells Fargo Advisors, Llc
Respondent Lawyers(s): Victor Hayslip
Arbitrator(s): Steven P. Gregory, Mark A. Myers, James L. Warren
Hearing Site: Birmingham, AL

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