FINRA Awards for James R. McGuone

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Displaying 4 out of 4 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
20-01140	12/01/2020	Claimant(s): Louis Levenson Claimant Lawyers(s): Louis Levenson Respondent(s): J.P. Morgan Securities Respondent Lawyers(s): Tracy L. Gerber Arbitrator(s): James R. McGuone, Frances L. Wolff, Harvey R. Linder Hearing Site: Atlanta, GA		$0
16-01770	11/27/2017	Claimant(s): Philip Evans Claimant Lawyers(s): Lars K. Soreide Respondent(s): Barry DekreekL Financial LLC Respondent Lawyers(s): Mickey Wright, Thomas F. Barnett Arbitrator(s): James R. McGuone, Ronelle W. Genser, Marcia A. Ogilvie Hearing Site: Atlanta, GA		Expungement
14-00732	08/20/2015	Claimant(s): Herschell Allen Claimant Lawyers(s): John Da Grosa Smith Respondent(s): James Arnett, Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Regina Pepe Martorana Arbitrator(s): James R. McGuone, Frances L. Wolff, John D. Mattingly Hearing Site: Atlanta, GA		$0
11-02239	12/04/2012	Claimant(s): Donna Jurena, William Jurena Claimant Lawyers(s): Benjamin Lapin Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Alexander B. Feinberg Arbitrator(s): James R. McGuone, Arthur P. Barry, Jerome Jack Shure Hearing Site: Atlanta, GA		Expungement