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FINRA Awards for James C. Allums

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Case Number Award Date Case Summary Customer Case? Amount Granted
15-0319411/14/2016Claimant(s): Kevin Gross
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Tracy L. Gerber
Arbitrator(s): Robert L. Yeager, James C. Allums, Jay M. Vogelson
Hearing Site: Dallas, TX
Checkmark IconExpungement
11-0476301/15/2013Claimant(s): Grace Stuart Nay, William Stuart, The Estate of William D. Stuart, Sr.,De
Claimant Lawyers(s): D. Paul Dalton
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Kyle A. Owens
Arbitrator(s): G. Maynard Green, James C. Allums, Melvin H. Wolovits
Hearing Site: Dallas, TX
Checkmark Icon$306,130

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