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FINRA Awards for William T. McCartan

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Case Number Award Date Case Summary Customer Case? Amount Granted
17-0192801/04/2018Claimant(s): Brent Hoffman
Claimant Lawyers(s): William T. McCartan
Respondent(s): Ernest Fugate, Mary Fugate
Respondent Lawyers(s): Bruce Oakes
Arbitrator(s):
Hearing Site: Kansas City, MO
Checkmark IconExpungement
11-0302512/06/2013Claimant(s): James W. Umstead & Betty L. Umstead
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Nations Financial Group.
Respondent Lawyers(s): William T. McCartan
Arbitrator(s): Rafael A. Porrata-Doria, Margaret Mary Crumley, Paul Ribner
Hearing Site: Philadelphia, PA
Checkmark Icon$230,124
09-0136905/27/2011Claimant(s): James Jordan
Claimant Lawyers(s): James H. Jordan
Respondent(s): Nations Financial Group.
Respondent Lawyers(s): William T. McCartan
Arbitrator(s): Joseph C. Roberts, Bonny Kathleen Riggs, Laurie E. Law
Hearing Site: Seattle, WA
Checkmark IconStipulated Award and Expungement
07-0052003/19/2008Claimant(s): Calvin Smith #37345-004, Errell Heflin- REG# 79150-012, George Eiland- REG# 99770-131, Roger Lunsford- REG# 21241-057
Claimant Lawyers(s): Calvin Smith- REG# 37345-004, Errell Glenn Heflin - REG# 79150-012, George W. Eiland - REG#99770-131, Roger K. Lunsford- REG# 21241-057
Respondent(s): Thomas Leechin, Nations Financial Group., RBC Dain Rauscher Inc.
Respondent Lawyers(s): Bryan Keane, William T. McCartan
Arbitrator(s): Glenn R. Oxner, Laurence M. Scoville, Robert S. Zuckerman
Hearing Site: Columbia, SC
Checkmark Icon$0

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