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FINRA Awards for JD

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Case Number Award Date Case Summary Customer Case? Amount Granted
09-0620306/16/2011Claimant(s): John Colley, LaNita Colley
Claimant Lawyers(s): W. David Carter
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Meredith A. Cunningham
Arbitrator(s): Lewis W. Pollok, Patricia B. Lehtola, Brian D. Esenwein, JD, CPA
Hearing Site: Dallas, TX
Checkmark Icon$73,000
10-0059404/27/2011Claimant(s): James C. Edington IRA, James C. Edington Trust
Claimant Lawyers(s): Brian G. Mooney
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Christopher Gawley
Arbitrator(s): Paul Sidney Elliott, JD, Thomas Roe Oldt, Lauren S. Puritz
Hearing Site: Orlando, FL
Checkmark IconExpungement
09-0138805/24/2010Claimant(s): James Taylor, Peggy Taylor
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Edward Jones
Respondent Lawyers(s): Donald R. Littlefield
Arbitrator(s): Phillip Lee Scheldt, Catherine M. Norman, Brian D. Esenwein, JD, CPA
Hearing Site: Dallas, TX
Checkmark Icon$131,000
07-0249410/07/2008Claimant(s): John Gentis
Claimant Lawyers(s): Michael C. Addison
Respondent(s): ING America Equities.
Respondent Lawyers(s): Theodore J. Sawicki
Arbitrator(s): Paul Sidney Elliott, JD, William R. Turner, Stephen Earl Clark
Hearing Site: Tampa, FL
Checkmark Icon$100

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