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FINRA Awards for James Mathieu

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Case Number Award Date Case Summary Customer Case? Amount Granted
18-0006606/12/2019Claimant(s): Mary Motsay, Michael Motsay, Michael L. Motsay, IRA and Accounts
Claimant Lawyers(s): Michael Motsay
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): Kenneth R. Starr, Philip L. Manczak, James Mathieu
Hearing Site: Tampa, FL
Checkmark IconExpungement
16-0205805/20/2019Claimant(s): Bobby Blackwell, Gail Blackwell, Bobby W. Blackwell Trst U/A dtd 5/2/2013, Gail R. Blackwell Trst U/A dtd 5/2/2013
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jonathan C. Schwartz
Arbitrator(s): Langfred W. White, Christopher William Crowley, James Mathieu
Hearing Site: Tampa, FL
Checkmark IconExpungement

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