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FINRA Awards for James L. Karpen

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Case Number Award Date Case Summary Customer Case? Amount Granted
09-0169010/08/2015Claimant(s): The Estate of Gregory N. McKnight, The Estate of Legisi Holdings, The Estate of Legisi Marketing.
Claimant Lawyers(s): Charles E. Murphy
Respondent(s): Alan Goddard, Eric Bloom, Michael Lichtenstein, Allen Goddard McGowan Pak & Partners LLC
Respondent Lawyers(s): Eric Bloom, Jerome M. Selvers
Arbitrator(s): Suzanne H Slick, James L. Karpen, Harvey Burdick
Hearing Site: Detroit, MI
Checkmark IconStipulated Award
10-0516205/23/2011Claimant(s): James Quincy Steigelman
Claimant Lawyers(s): James Q. Steigelman
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Courtney R. Reid
Arbitrator(s): James L. Karpen
Hearing Site: Detroit, MI
Checkmark Icon$10,590
08-0084610/29/2008Claimant(s): Jyoti Shah
Claimant Lawyers(s): Jyoti A. Shah
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): James L. Karpen
Hearing Site: Detroit, MI
Checkmark Icon$0

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