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FINRA Awards for Birmingham, AL

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Displaying 21-30 out of 76 results
Case Number Award Date Case Summary Customer Case? Amount Granted
20-0304204/09/2021Claimant(s): David Golson
Claimant Lawyers(s): Sarah K. Yates
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Geoff Beckham
Arbitrator(s): Robert J. Gregory
Hearing Site: Birmingham, AL
20-0276002/25/2021Claimant(s): Robert Smith
Claimant Lawyers(s): Sarah K. Yates
Respondent(s): BBVA Securities.
Respondent Lawyers(s): David S. Neel, Jr.
Arbitrator(s): Michael J. Ahlstrom
Hearing Site: Birmingham, AL
19-0165806/11/2020Claimant(s): Karen Gallahar
Claimant Lawyers(s): Joel M Everest
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): Robert M. Rudnicki
Arbitrator(s): Michael J. Ahlstrom
Hearing Site: Birmingham, AL
19-0305906/01/2020Claimant(s): Eugene Millsap
Claimant Lawyers(s): Andrea M. Greene
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): Robert M. Rudnicki
Arbitrator(s): Brock B. Gordon
Hearing Site: Birmingham, AL
19-0165903/20/2020Claimant(s): David Gallahar
Claimant Lawyers(s): Joel M. Everest
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): Robert M. Rudnicki
Arbitrator(s): Harvey R. Linder
Hearing Site: Birmingham, AL
19-0219003/18/2020Claimant(s): Christopher Holder
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Triad Advisors LLC
Respondent Lawyers(s): Melissa Tarentino
Arbitrator(s): Frances Johnson Wright
Hearing Site: Birmingham, AL
19-0233603/03/2020Claimant(s): David Anthony
Claimant Lawyers(s): Joel M. Everest
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): Robert M. Rudnicki
Arbitrator(s): G. Maynard Green
Hearing Site: Birmingham, AL
18-0251808/29/2019Claimant(s): John Bach
Claimant Lawyers(s): John William Bach
Respondent(s): Harbor Financial Services
Respondent Lawyers(s): Mickey Wright
Arbitrator(s): Nelson E. Genshaft, Mark A. Sipper, Lonny Scott Elfenbein
Hearing Site: Birmingham, AL
18-0336806/24/2019Claimant(s): David Petty
Claimant Lawyers(s): Joel M. Everest
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): Stanton A. Fears
Arbitrator(s): Debra Black Leo
Hearing Site: Birmingham, AL
17-0262605/15/2019Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Victor L. Hayslip
Respondent(s): Wells Fargo Advisors, John Hand
Respondent Lawyers(s): Charles M. Thompson, Victor L. Hayslip
Arbitrator(s): Mark A. Myers, Philip Michael Moran, Matthew Reid Krell
Hearing Site: Birmingham, AL

76 Results

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