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FINRA Awards for Charles M. Thompson

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Case Number Award Date Case Summary Customer Case? Amount Granted
09-0675411/19/2010Claimant(s): James Populorum
Claimant Lawyers(s): James Richard Populorum
Respondent(s): Janice Hallett, The Tidal Group
Respondent Lawyers(s): David B. Dyer
Arbitrator(s): David P. McDuffee, Charles Sydnor Thompson, Lester Neal Ellis
Hearing Site: Raleigh, NC
Checkmark Icon$0
08-0464102/05/2010Claimant(s): Howard Schultz, Estate of Merle C. Schultz
Claimant Lawyers(s): Robert R. Riley
Respondent(s): Andrew Petrofsky, Norman Berk, Professional Asset Strategies
Respondent Lawyers(s): Lee R. Benton, Marion F. Walker
Arbitrator(s): John G. Manley, Charles M. Thompson, Lane A. Fentriss
Hearing Site: Birmingham, AL
Checkmark Icon$478,908

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