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FINRA Awards for James H. McAvoy

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Case Number Award Date Case Summary Customer Case? Amount Granted
11-0427903/05/2013Claimant(s): Bank of Nevada
Claimant Lawyers(s): Garrett W. Wotkyns
Respondent(s): UBS Securities LLC, UBS Financial Services Inc.
Respondent Lawyers(s): Audette Paul Morales, Justin DeCamp
Arbitrator(s): James H. McAvoy, Steven A. Budin, Ernest F. Modzelewski
Hearing Site: Las Vegas, NV
Checkmark IconExpungement
10-0581402/24/2012Claimant(s): Janice Carkeek, Janice Carkeek IRA, Janice A. Carkeek Revocable Trust U/A/D
Claimant Lawyers(s): Alan L. Sachs
Respondent(s): Jeremy Kisner, Crown Capital Securities, L.P.
Respondent Lawyers(s): Craig R. Bockman, G. Thomas Fleming
Arbitrator(s): James H. McAvoy, Melvin S. Feldman, Daniel Clay McGuire
Hearing Site: Las Vegas, NV
Checkmark Icon$31,768

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