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FINRA Awards for James R Anderson

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Case Number Award Date Case Summary Customer Case? Amount Granted
10-0160102/03/2012Claimant(s): Helen Dunlap Trust, Willis F. Dunlap Trust
Claimant Lawyers(s): James R Anderson, James R. Anderson
Respondent(s): Jay Harriman, Raymond James Financial Services.
Respondent Lawyers(s): Terrance A. Bostic
Arbitrator(s): E. William Pastor, Catherine Stewart, Karen R. Perri
Hearing Site: Philadelphia, PA
Checkmark Icon$15,300
09-0508112/13/2010Claimant(s): Dennis L Adams (DECD) IRA,, Mary Kay Adams IRA, Mary Kay Adams Living Trust
Claimant Lawyers(s): James R Anderson
Respondent(s): Oppenheimer & Co.., Susan Rose
Respondent Lawyers(s): Deborah Dickstein
Arbitrator(s): Roland L. Olzark, Garrick A. Rollert, Ronald Marvin Rothstein
Hearing Site: Detroit, MI
Checkmark IconStipulated Award and Expungement

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