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FINRA Awards for Roslyn Barbee

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Case Number Award Date Case Summary Customer Case? Amount Granted
16-0360306/07/2018Claimant(s): Hugh and Amy (Betty) Mitchell
Claimant Lawyers(s): Charles A McCallum
Respondent(s): Brian Anderson, Raymond James Financial Services., Anderson Pewitt & AssociatesL Financial Holdings., Weybridge Capital Partners, GP
Respondent Lawyers(s): Aaron Furniss, Joel M. Everest, Richard Frankowski
Arbitrator(s): Harry G. Mason, J. Wesley Romine, Roslyn Barbee
Hearing Site: Birmingham, AL
Checkmark IconExpungement
15-0183403/25/2016Claimant(s): Brenda Woodmansee, Brenda K. Woodmansee IRA
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): Robert Smith, American General Securities Incorporated, Berthel, Fisher & Co Financial Svs., ProEquities.
Respondent Lawyers(s): Greg Curley, Heather R. Demyan, Stephen C. Jackson
Arbitrator(s): Daniel T. Hull, Rachel Kay Russell, Roslyn Barbee
Hearing Site: Birmingham, AL
Checkmark IconDismissed by Rule 12206

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