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FINRA Awards for James M. Tipton

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Case Number Award Date Case Summary Customer Case? Amount Granted
13-0006710/08/2013Claimant(s): Justin Maine
Claimant Lawyers(s): Justin S. Maine
Respondent(s): John Arrick, Raymond James Financial Services.
Respondent Lawyers(s): Kelli Hartsook
Arbitrator(s): James M. Tipton
Hearing Site: Dallas, TX
Checkmark Icon$0
12-0293808/06/2013Claimant(s): Patricia Wilson
Claimant Lawyers(s): David Neuman
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Amanda C. Hawley
Arbitrator(s): James M. Tipton
Hearing Site: Dallas, TX
Checkmark IconExpungement
06-0475109/25/2007Claimant(s): Deborah Comer
Claimant Lawyers(s): Deborah Comer
Respondent(s): Chistopher Lyons, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Alan Rafterman
Arbitrator(s): Valynda A. Ewton, James M. Tipton, Irwin S. Sugerman
Hearing Site: Dallas, TX
Checkmark Icon$0

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