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FINRA Awards for James C. Browning

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Displaying 21-30 out of 30 results
Case Number Award Date Case Summary Customer Case? Amount Granted
08-0082405/22/2009Claimant(s): David Yashon
Claimant Lawyers(s): David Yashon
Respondent(s): Brent Markley, Michael O'Dell, A.G. Edwards & Sons.
Respondent Lawyers(s): Deirdre Wolff, James C. Browning
Arbitrator(s): Jeffrey M. Bain, Charles D. Underwood, Erick R. Zanner
Hearing Site: Columbus, OH
Checkmark Icon$46,000
08-0100205/20/2009Claimant(s): The Estate of Mary A. Musil
Claimant Lawyers(s): Richard A. Kutche
Respondent(s): Wachovia Securities, A.G. Edwards & Sons., Prudential Equity Group
Respondent Lawyers(s): James C. Browning, Kenneth Fuchs
Arbitrator(s): Dean J. Dietrich
Hearing Site: San Francisco, CA
Checkmark Icon$36,717
08-0095604/13/2009Claimant(s): Elyse Masterson, Robert Masterson, Masterson Family, Blake Dillion Masterson, CUS, James Brody Masterson
Claimant Lawyers(s): Randall K. Calvert
Respondent(s): Azmi "Andy" Fakhoury, Wachovia Securities
Respondent Lawyers(s): James C. Browning
Arbitrator(s): Donald M. Lehman, Preston A. Trimble, Jan Preece Gaddis
Hearing Site: Oklahoma City, OK
Checkmark Icon$89,338
08-0023603/10/2009Claimant(s): Bruce Graves
Claimant Lawyers(s): Steele T. Williams
Respondent(s): A.G. Edwards & Sons., Robert Kahne
Respondent Lawyers(s): James C. Browning
Arbitrator(s): Michael A. Lynch, William F. Glaser, Kenneth R. Starr
Hearing Site: Tampa, FL
Checkmark Icon$0
08-0011701/21/2009Claimant(s): Daniel J. Day Living Trust, Diane D. Arnold Living Trust
Claimant Lawyers(s): William B. Young
Respondent(s): Wachovia Securities
Respondent Lawyers(s): James C. Browning
Arbitrator(s): Robert J. Walter, Benjamin L. Abramowitz, Clarence B. Johnson, CLU, ChFC
Hearing Site: Orlando, FL
Checkmark Icon$0
07-0187010/09/2008Claimant(s): Joan Skrzycki, Robert Skrzycki
Claimant Lawyers(s): Daniel R. Flebotte
Respondent(s): Wachovia Securities
Respondent Lawyers(s): James C. Browning
Arbitrator(s): Robert T. Allen, David P. McDuffee, George W. McKellar
Hearing Site: Raleigh, NC
Checkmark Icon$0
07-0110003/28/2008Claimant(s): The Shorr Family Trust
Claimant Lawyers(s): Ronald W. Karolyi
Respondent(s): A.G. Edwards & Sons., Terry Dean
Respondent Lawyers(s): James C. Browning
Arbitrator(s): Robert S. Zuckerman, Michael E. Pearson, Richard E. Miley
Hearing Site: Charlotte, NC
Checkmark Icon$0
07-0232903/25/2008Claimant(s): Dave Schutz
Claimant Lawyers(s): Steven M. Green
Respondent(s): Mark Gundy, A.G. Edwards & Sons.
Respondent Lawyers(s): James C. Browning
Arbitrator(s): Janice L. Sperow
Hearing Site: San Diego, CA
Checkmark Icon$425
05-0590202/08/2008Claimant(s): Larry Parker
Claimant Lawyers(s): Thomas M. Haskins
Respondent(s): Citigroup Global Markets., A.G. Edwards & Sons.
Respondent Lawyers(s): James C. Browning, William A. Hohauser
Arbitrator(s): Dennis Dowd, Gerhard L. Schopen, Suanne M. Parro
Hearing Site: Denver, CO
Checkmark Icon$0
07-0157711/02/2007Claimant(s): Tom W. White & Jane C. White JT TEN
Claimant Lawyers(s): Tom William White
Respondent(s): A.G. Edwards & Sons.
Respondent Lawyers(s): James C. Browning
Arbitrator(s): Terry F. Peppard
Hearing Site: Milwaukee, WI
Checkmark Icon$0

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