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FINRA Awards for James David Askren

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Case Number Award Date Case Summary Customer Case? Amount Granted
17-0011203/04/2019Claimant(s): David Greene
Claimant Lawyers(s): Ross B. Intelisano
Respondent(s): Credit Suisse Securities (USA) LLC
Respondent Lawyers(s): David S. Poppick
Arbitrator(s): Clare R. Goldfarb, Peggy Lewis Kennedy, James David Askren
Hearing Site: Atlanta, GA
16-0281511/09/2017Claimant(s): Francis Bevenour
Claimant Lawyers(s): Francis Merle Bevenour
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Sara Soto
Arbitrator(s): James David Askren, Sherri Lynne Kimmell, Frank (Francis) Eugene Roedl
Hearing Site: Atlanta, GA
14-0178608/31/2015Claimant(s): Uzoma Ogene
Claimant Lawyers(s): Uzoma Ogene
Respondent(s): TD Ameritrade., Jeffrey Plummer
Respondent Lawyers(s): Dana S. Gloor
Arbitrator(s): James R. McGuone, Bernard Leroy Lynch, James David Askren
Hearing Site: Atlanta, GA

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