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FINRA Awards for Lynne R. Stern

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Displaying 5 out of 5 results
Case Number Award Date Case Summary Customer Case? Amount Granted
17-0012905/18/2018Claimant(s): Wood Breazeale
Claimant Lawyers(s): James F. Willeford
Respondent(s): Regan Leopold, Lincoln Financial Distributors.
Respondent Lawyers(s): Nancy Scott Degan
Arbitrator(s): Jeff Abrams, Lynne R. Stern, Brian P. Jakes
Hearing Site: New Orleans, LA
Checkmark IconExpungement
13-0333407/29/2014Claimant(s): Estate of Dudley D. Martens
Claimant Lawyers(s): Christopher J. Gray
Respondent(s): Jerry McCutchen, Next Financial Group.
Respondent Lawyers(s): William F. Ray
Arbitrator(s): R. Lee Britton Jr., Lynne R. Stern, Daniel Patrick Hurley
Hearing Site: New Orleans, LA
Checkmark IconDismissed by Rule 12206
12-0083912/27/2012Claimant(s): The Reese M. Holifield MBTA
Claimant Lawyers(s): Eric Creizman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Bradley B. Rounsaville
Arbitrator(s): Clayton J. Borne, Lynne R. Stern, Robert A. Wojcik
Hearing Site: Jackson, MS
Checkmark Icon$0
10-0114112/13/2011Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc., Merrill Lynch International Finance
Claimant Lawyers(s): Jason K. Roberts
Respondent(s): Daniel Hudson
Respondent Lawyers(s): Bruce V Schewe
Arbitrator(s): Frederick H. Bruce, Lynne R. Stern, Kathryn M. Welsh
Hearing Site: New Orleans, LA
09-0623405/26/2011Claimant(s): Peoples State Bank
Claimant Lawyers(s): Stephen L. Miles
Respondent(s): Michael Park, FTN Financial Securities Corp, FTN Financial Capital Markets
Respondent Lawyers(s): Mark D. Griffin
Arbitrator(s): William B. Miller, Frederick H. Bruce, Lynne R. Stern
Hearing Site: New Orleans, LA
Checkmark Icon$0

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