FINRA Awards for James R. Duncan

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Displaying 4 out of 4 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
18-01138	02/04/2019	Claimant(s): Antoine Souma Claimant Lawyers(s): Robert D Mitchell Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Cheryl S. Chang Arbitrator(s): Barbara M. Zak, James R. Duncan, Morris S. Getzels Hearing Site: Los Angeles, CA
11-03575	06/03/2013	Claimant(s): Torrey Pines Securities. Claimant Lawyers(s): Michael Jacobs Respondent(s): Adam Schwartz, Charles Schwab & Co.. Respondent Lawyers(s): Gilbert R. Serota Arbitrator(s): James R. Duncan, Victoria E. Johnson, David W. Casey Hearing Site: Los Angeles, CA
12-01501	05/29/2013	Claimant(s): Stan Dreyfuss Claimant Lawyers(s): Leonard Steiner Respondent(s): RBC Capital Markets LLC, RBC Capital Markets Corporation, RBC Dain Rauscher. Respondent Lawyers(s): Linda Claxton Arbitrator(s): James R. Duncan, Elliott Zachary Seff, Robert F. Saint-Aubin Hearing Site: Los Angeles, CA
11-02699	03/26/2013	Claimant(s): Lori Koh Claimant Lawyers(s): Jonathan S. Sack Respondent(s): Barclays Capital Inc. Respondent Lawyers(s): Peter R. Boutin Arbitrator(s): James R. Duncan, Ralph B. Perry, Robert B. Hansohn Hearing Site: Los Angeles, CA