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FINRA Awards for James Wallace Boeckman

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Case Number Award Date Case Summary Customer Case? Amount Granted
21-0176808/25/2022Claimant(s): Tricia Wilson
Claimant Lawyers(s): Lars Soreide
Respondent(s): Clarissa Beltran, Wells Fargo Clearing Services
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): James Wallace Boeckman, G. Dennis Sheehan, James Douglas Gaughan
Hearing Site: Houston, TX
Checkmark IconExpungement
19-0294008/30/2021Claimant(s): Mark Sitter
Claimant Lawyers(s): Esther Treneer
Respondent(s): Calton & Associates., Capital Financial Services.
Respondent Lawyers(s): Gordon Dihle, Martin S. Schexnayder
Arbitrator(s): James Wallace Boeckman, Stephanie E. Simmons, Curtis Jay Meador
Hearing Site: Houston, TX
16-0339003/26/2018Claimant(s): Kathryn Childress Irrevocable Trust
Claimant Lawyers(s): Shari P. Pulman
Respondent(s): Scottrade Inc., Clyde Jones
Respondent Lawyers(s): Clyde Mick Jones, Niels P. Murphy
Arbitrator(s): Mary Esther Escobedo, James Wallace Boeckman, Jude A Smith
Hearing Site: Houston, TX
Checkmark Icon$905,000

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