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FINRA Awards for James S. Martin

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Displaying 6 out of 6 results
Case Number Award Date Case Summary Customer Case? Amount Granted
08-0449801/06/2012Claimant(s): Judith Rutherford
Claimant Lawyers(s): Judith Rutherford
Respondent(s): Andrew Anagnostou, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kenneth C. Mennemeier
Arbitrator(s): Richard B. Bullock, James S. Martin, Michael J. Fish
Hearing Site: San Francisco, CA
Checkmark Icon$0
09-0056207/12/2011Claimant(s): Stan Schuldiner
Claimant Lawyers(s): Stan Schuldiner
Respondent(s): Vanguard Marketing Corporation
Respondent Lawyers(s): James J. Dougherty
Arbitrator(s): Harry B. Endsley, James S. Martin, Walter F. Dillaway
Hearing Site: San Francisco, CA
Checkmark Icon$0
08-0317411/05/2010Claimant(s): Leon Kaplan
Claimant Lawyers(s): Cary S. Lapidus
Respondent(s): David Lowi, Jeffrey Green, William Evans, III, Stone & Youngberg LLC
Respondent Lawyers(s): Cara L. Finan
Arbitrator(s): Donald S. Green, James S. Martin, Stephen A. Field
Hearing Site: San Francisco, CA
Checkmark IconExpungement
08-0280008/16/2010Claimant(s): Lee Ng, Lim Low
Claimant Lawyers(s): Brett A. Alcala
Respondent(s): Fengjui Hsu, John Hsu, Pyramid Financial Corp.
Respondent Lawyers(s): Eric J. Sidebotham, Fengjui Sun Hsu
Arbitrator(s): James S. Martin, Jeffrey M. Allen, Homer L. Davis
Hearing Site: San Francisco, CA
Checkmark Icon$338,610
07-0097703/17/2009Claimant(s): James Martin, Estate of Barbara Martin
Claimant Lawyers(s): Neil W. Yahn
Respondent(s): Citigroup Global Markets., Ronald Wetzel
Respondent Lawyers(s): Raul Sanchez
Arbitrator(s): Dean L. Scarpa, John L. Braxton, Allen M. Kerpan
Hearing Site: Philadelphia, PA
Checkmark Icon$1
06-0321312/06/2007Claimant(s): Rindy Merrifield Inc Def Ben Plan 1/00
Claimant Lawyers(s): Timothy A. Canning
Respondent(s): Michael Woods, Mutual Service Corporation
Respondent Lawyers(s): G. Thomas Fleming
Arbitrator(s): James S. Martin, Walter J. Huntley, Richard Conlon Lehrmann
Hearing Site: San Francisco, CA
Checkmark Icon$0

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