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FINRA Awards for Stephen T. Johnson

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Case Number Award Date Case Summary Customer Case? Amount Granted
21-0266307/20/2022Claimant(s): Daniel Mercer
Claimant Lawyers(s): Daniel Aaron Mercer
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): Laura T. Ruiz Rivera
Arbitrator(s): Stephen T. Johnson, Brian James Tagtmeier, Katherine Parsley
Hearing Site: Houston, TX
15-0303401/09/2018Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Jeffrey M. Csercsevits
Respondent(s): Michael Hopper
Respondent Lawyers(s): Michael Hopper
Arbitrator(s): Thomas A. Martin, Bertrand C. Moser, Stephen T. Johnson
Hearing Site: Houston, TX
10-0581804/18/2012Claimant(s): Robert Higley
Claimant Lawyers(s): Earnest W. Wotring
Respondent(s): James Bashaw, JEB NEWCO, L.L.C., James E. Bashaw & Co.
Respondent Lawyers(s): David E. Wynne
Arbitrator(s): David G. Beerbower, Jack Chapline Vaughan, Stephen T. Johnson
Hearing Site: Houston, TX

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