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FINRA Awards for Robert H. Putnam

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Displaying 31-40 out of 40 results
Case Number Award Date Case Summary Customer Case? Amount Granted
10-0243505/09/2011Claimant(s): Succession of Newman Trowbridge
Claimant Lawyers(s): Steven G. "Buzz" Durio
Respondent(s): Rick Schenck, Capital One Investment Services
Respondent Lawyers(s): Frances M. Curran
Arbitrator(s): Robert H. Putnam, James Kee Irvin, Clave E. Gill
Hearing Site: New Orleans, LA
Checkmark Icon$0
09-0524601/11/2011Claimant(s): FTB, GC&KB Investments.
Claimant Lawyers(s): Stephen D. Marx
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Thomas A. Roberts
Arbitrator(s): Robert H. Putnam, Frederick S. Duncan, Mario Alberto Arteaga
Hearing Site: New Orleans, LA
Checkmark Icon$85,507
09-0451406/10/2010Claimant(s): Virginia Kaye Corley
Claimant Lawyers(s): Barry D. Broome
Respondent(s): Wachovia Securities, James Stanley, Kathy Daisey, Kim Thomas, Kristin Sarafinis, Luther Reames, Mark Moore, Scott Tittle, Steve Kelleher
Respondent Lawyers(s): Deirdre Wolff
Arbitrator(s): Robert H. Putnam, Mollie Wagner Neal, Alfred Lee Dingler
Hearing Site: Atlanta, GA
Checkmark Icon$0
09-0520104/19/2010Claimant(s): Saul Crafton
Claimant Lawyers(s): Saul Crafton
Respondent(s): TD Ameritrade Clearing.
Respondent Lawyers(s): Catherine Luth
Arbitrator(s): Robert H. Putnam
Hearing Site: Jacksonville, FL
Checkmark Icon$257
09-0406703/02/2010Claimant(s): Cleveland Foret, Joan Foret
Claimant Lawyers(s): James F. Willeford
Respondent(s): Legg Mason Wood Walker, Sterne, Agee & Leach.
Respondent Lawyers(s): Jason W. Gaarder, Meredith Jowers Lees
Arbitrator(s): Robert H. Putnam, Michael T. Nobile, William Gilbert Faulk
Hearing Site: New Orleans, LA
Checkmark IconDismissed by Rule 12206
09-0560002/25/2010Claimant(s): Bruce Brookshire
Claimant Lawyers(s): Bruce C. Brookshire
Respondent(s): George Hamby, James Day, Capitol Securities Management.
Respondent Lawyers(s): Janet K. DeCosta
Arbitrator(s): Robert H. Putnam
Hearing Site: New Orleans, LA
Checkmark Icon$0
08-0062207/22/2009Claimant(s): Candace Patterson, William Patterson
Claimant Lawyers(s): Steven J. Gard
Respondent(s): Century Securities Associates.
Respondent Lawyers(s): Christopher G. Lazarini
Arbitrator(s): Robert H. Putnam, Arthur P. Barry, Bonnie B. Revoner
Hearing Site: Atlanta, GA
Checkmark Icon$0
08-0075602/09/2009Claimant(s): Khalil Abbasi and David Abbasi
Claimant Lawyers(s): David Abbasi
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): Robert H. Putnam, Howard S. Levine, Arthur P. Barry
Hearing Site: Atlanta, GA
Checkmark Icon$0
07-0313310/01/2008Claimant(s): Deborah Soden Rowe, Eugene Soden, Estate of Eugene Vincent Soden, Jr.
Claimant Lawyers(s): E. Ray Stanford
Respondent(s): Irene Soden, Scottrade.
Respondent Lawyers(s): Abraham A. Sharony, F. Carlton King
Arbitrator(s): Robert H. Putnam, James J. Dalton, Daniel H. Kolber
Hearing Site: Atlanta, GA
Checkmark Icon
07-0279004/04/2008Claimant(s): Francis G. Laguaite, Executor
Claimant Lawyers(s): Francis G. Laguaite
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Gary P. Alexander, Robert H. Putnam, Michael J. Ahlstrom
Hearing Site: Atlanta, GA
Checkmark Icon$0

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