Potomac Analytics' Logo

FINRA Awards for James F. Carlson

Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:

Filter by:

Sort by:

Displaying 4 out of 4 results
Case Number Award Date Case Summary Customer Case? Amount Granted
22-0091008/16/2022Claimant(s): IFS Liquidation Trust
Claimant Lawyers(s): Richard E. Brodsky
Respondent(s): Keith Wakefield
Respondent Lawyers(s): Keith Wakefield
Arbitrator(s): James F. Carlson
Hearing Site: Chicago, IL
12-0231004/25/2013Claimant(s): Christopher Hopkins
Claimant Lawyers(s): Marianna Cline
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Anthony L. Valenzuela
Arbitrator(s): Frank Samuelsohn, James F. Carlson, Evonne A. Hurst
Hearing Site: Milwaukee, WI
12-0095704/12/2013Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Patrick R. Mahoney
Respondent(s): Ellen McDonough, Paul McDonough
Respondent Lawyers(s): Ellen McDonough, Paul J. McDonough
Arbitrator(s): James F. Carlson, Donald W. McKenzie, Allan Robert Ettinger
Hearing Site: Chicago, IL
Expungement
09-0710707/22/2010Claimant(s): David A. Noyes & Company
Claimant Lawyers(s): Robert L. Cram
Respondent(s): Brian Harris
Respondent Lawyers(s): Brian J. Harris
Arbitrator(s): James F. Carlson
Hearing Site: Chicago, IL

4 Results

Display: