FINRA Awards for Richard L. Oates

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Displaying 4 out of 4 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
09-01289	05/09/2011	Claimant(s): PMW Partners d/b/a Capital Trust Wealth Claimant Lawyers(s): Eugene N. Bulso Respondent(s): RBC Centura Banks., NBC Securities. Respondent Lawyers(s): Christopher G. Lazarini Arbitrator(s): Richard L. Oates, Richard G. Isaac, Kenneth I. Daniels Hearing Site: Birmingham, AL
07-01315	02/15/2008	Claimant(s): Banc of America Investment Services Inc. Claimant Lawyers(s): Diane C. Fischer Respondent(s): Thomas Cooper Respondent Lawyers(s): Thomas Stephen Cooper Arbitrator(s): Richard L. Oates, Thomas C. Moxley, Richard Lee Matthews Hearing Site: Nashville, TN
06-03345	11/20/2007	Claimant(s): Banc of America Investment Services Inc. Claimant Lawyers(s): Diane C. Fischer Respondent(s): Michael Winemiller Respondent Lawyers(s): Paul Forrest Craig Arbitrator(s): Richard L. Oates, David George McCabe, Scott E. Ferguson Hearing Site: Memphis, TN
05-04046	10/10/2007	Claimant(s): RBC Capital Markets Corporation Claimant Lawyers(s): Donald S. Arbour Respondent(s): James Taylor Respondent Lawyers(s): Charles W. Hill Arbitrator(s): Richard L. Oates, E. Steve Scales, Lori Beth Kamen Hearing Site: Memphis, TN