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FINRA Awards for Little Rock, AR

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Displaying 21-30 out of 38 results
Case Number Award Date Case Summary Customer Case? Amount Granted
12-0335110/28/2014Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc., Merrill Lynch International Finance Inc.
Claimant Lawyers(s): Ciana Williams
Respondent(s): Janice Johnston
Respondent Lawyers(s): W. Asa Hutchinson
Arbitrator(s): J. Maxwell Williams
Hearing Site: Little Rock, AR
13-0292209/30/2014Claimant(s): Morgan Stanley, MSSB FA Notes Holdings LLC
Claimant Lawyers(s): David J. Sensenig
Respondent(s): Paul McCutchen
Respondent Lawyers(s): Denny Sumpter
Arbitrator(s): Earle J. Schwarz
Hearing Site: Little Rock, AR
09-0209210/19/2012Claimant(s): BOSC.
Claimant Lawyers(s): Erica Anne Dorwart
Respondent(s): Barry Kellerman
Respondent Lawyers(s): Barry Kellerman
Arbitrator(s): John Fox Arnold, Dennis Jay Capriglione, Raymond Przybylowski
Hearing Site: Little Rock, AR
11-0442509/25/2012Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Ross D. Carmel
Respondent(s): James Ward, Jr.
Respondent Lawyers(s): James Oather Ward
Arbitrator(s): R. Phillip Reed, David B. Lacks, Matthew R. Salamon
Hearing Site: Little Rock, AR
10-0362705/18/2012Claimant(s): John Turbeville
Claimant Lawyers(s): John D. Coulter
Respondent(s): Erin Eason
Respondent Lawyers(s): Grant E. Fortson
Arbitrator(s): John A. Davis, J. Maxwell Williams, Christopher J. Janson
Hearing Site: Little Rock, AR
11-0390203/07/2012Claimant(s): Morgan Keegan & Company.
Claimant Lawyers(s): William M. Schmitt
Respondent(s): Keith Freeman
Respondent Lawyers(s): Keith H. Freeman
Arbitrator(s): Alan A. Sachs
Hearing Site: Little Rock, AR
11-0220410/28/2011Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Brian R. Mills
Respondent(s): Joey Dean
Respondent Lawyers(s): Joey Wade Dean
Arbitrator(s): Frederick Michael Switzer
Hearing Site: Little Rock, AR
10-0226606/01/2011Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): David Wilson
Respondent Lawyers(s): David P. Wilson
Arbitrator(s): Maxel (Bud) B. Silverberg
Hearing Site: Little Rock, AR
10-0080301/06/2011Claimant(s): Raymond James Financial Services.
Claimant Lawyers(s): John K. Wells
Respondent(s): Dwight Hazelwood
Respondent Lawyers(s): Dwight Hazelwood
Arbitrator(s): Keith D. Patten, Paul Mann
Hearing Site: Little Rock, AR
10-0069911/10/2010Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Mitchell J. Albert
Respondent(s): David Wilson
Respondent Lawyers(s): David Paul Wilson
Arbitrator(s): Frederick Michael Switzer
Hearing Site: Little Rock, AR

38 Results

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