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FINRA Awards for John G. Manley

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Displaying 10 out of 15 results
Case Number Award Date Case Summary Customer Case? Amount Granted
15-0301809/06/2017Claimant(s): Bernard Chang, Erich Groos, Ira Shivitz, Jane Groos, Kelly Harwood, Melissa Goodman-Chang, Cornea Consultants of Nashville, PLLC Ca, PLLC Pr, Kelly Harwood Irrevocable Trust
Claimant Lawyers(s): Thomas E. Chase
Respondent(s): LPL Financial LLC, Kenneth Ford, Private Advisory Group.
Respondent Lawyers(s): Amy Worrell Sterling, Michael A Brady
Arbitrator(s): John G. Manley, Richard K. Smith, Robert Lane Arrington
Hearing Site: Nashville, TN
Checkmark Icon$600
15-0035409/01/2016Claimant(s): Benjamin G. Thompson Family Trust dated
Claimant Lawyers(s): Kristian Kraszewski
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Joel M. Everest
Arbitrator(s): John G. Manley, Patricia Best Vital, J. Wesley Romine
Hearing Site: Birmingham, AL
Checkmark IconExpungement
14-0266307/06/2016Claimant(s): Shannon Nafaa, Estate of Raymond Ryals
Claimant Lawyers(s): John M. Lassiter
Respondent(s): Morgan Stanley, Linda Ryals, Sun America Annuity & Life Insurance Co.
Respondent Lawyers(s): Brian C. Hale, Michael A Wing, Michael K. Brisbin
Arbitrator(s): John G. Manley, Richard J. Clement, Stephen Edgar Eisenbraun
Hearing Site: Birmingham, AL
Checkmark Icon$0
14-0118908/21/2015Claimant(s): Miriam Albert, Miriam Albert IRA, Richard and Miriam Albert Reocable Trust
Claimant Lawyers(s): David W. Miller
Respondent(s): Crown Capital Securities, L.P.
Respondent Lawyers(s): Craig Bockman
Arbitrator(s): Philip H. Marmurowski, John G. Manley, Brian Pezzillo
Hearing Site: Las Vegas, NV
Checkmark IconExpungement
14-0228708/21/2015Claimant(s): Charles Prine, TTEE
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): Kelli Hartsook
Arbitrator(s): John G. Manley, Maria Aguilar Icaza, James L. Warren
Hearing Site: Jackson, MS
Checkmark Icon$0
11-0450605/28/2013Claimant(s): Dana Lang
Claimant Lawyers(s): Lee Bowie
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): James C. Browning
Arbitrator(s): Arthur W. Pigott, John G. Manley, James L. Warren
Hearing Site: Jackson, MS
Checkmark Icon$200,375
12-0080905/28/2013Claimant(s): Fae Silver
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Tara A. LaClair
Arbitrator(s): Paul H. Lamboley, Merrill Dean Taylor, John G. Manley
Hearing Site: Las Vegas, NV
Checkmark IconExpungement
10-0299410/19/2011Claimant(s): Royce Thornton, Willie Thornton
Claimant Lawyers(s): Royce Thornton
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Brian C. Hale
Arbitrator(s): John G. Manley
Hearing Site: Birmingham, AL
Checkmark IconExpungement
10-0199706/29/2011Claimant(s): Anne Bradshaw
Claimant Lawyers(s): Jeff S. Daniel
Respondent(s): Wachovia Securities, Nancy Lipham
Respondent Lawyers(s): Deirdre C. Wolff
Arbitrator(s): John G. Manley
Hearing Site: Birmingham, AL
Checkmark Icon$43,579
10-0378206/01/2011Claimant(s): James J. Pine
Claimant Lawyers(s): R Brannon Kahlstorf
Respondent(s): Wells Fargo Advisors, Samuel Jew
Respondent Lawyers(s): Kermit L. Kendrick
Arbitrator(s): John G. Manley
Hearing Site: Memphis, TN
Checkmark Icon$225

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