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FINRA Awards for Geraldine James

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Case Number Award Date Case Summary Customer Case? Amount Granted
15-0128806/13/2016Claimant(s): Geraldine James, James Living Trust
Claimant Lawyers(s): David M. Gaba, Patricia L. Vannoy
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Bradley B. Rounsaville
Arbitrator(s): Robert M. Stein, G. E. Craig Doupe
Hearing Site: Seattle, WA
Checkmark Icon$78,341

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