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FINRA Awards for CPA

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Case Number Award Date Case Summary Customer Case? Amount Granted
20-0160407/01/2022Claimant(s): Gerald Fallon
Claimant Lawyers(s): Jeffrey S. Moeller
Respondent(s): Ernest Mishne, Oppenheimer & Co.., Tom Thacker
Respondent Lawyers(s): Donald Corbett
Arbitrator(s): Michael L. Fortney, Dennis S. Medica, CPA, Ronald Edward Alexander
Hearing Site: Cleveland, OH
Checkmark Icon$220,352
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
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

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