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FINRA Awards for James Lee

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Case Number Award Date Case Summary Customer Case? Amount Granted
18-0010709/10/2018Claimant(s): James Lee
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Ameriprise Financial Services
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Steven T. Stern
Hearing Site: Wilmington, DE
15-0121805/11/2016Claimant(s): Gary Penner & Leslie-Ann Furie JTWROS, Gary Penner Profit Sharing Plan, Leslie-Ann Furie Profit Sharing Plan
Claimant Lawyers(s): Gary Penner
Respondent(s): Edward Moldaver, James Lee, Mark Stevenson
Respondent Lawyers(s): David Robbins, Jonathan L. Adler
Arbitrator(s): Karimu F. Hill-Harvey, Catherine Stewart, Marvin L. Schuldiner
Hearing Site: Newark, NJ
Checkmark IconExpungement

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