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FINRA Awards for James G. Cooper

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Displaying 7 out of 7 results
Case Number Award Date Case Summary Customer Case? Amount Granted
14-0317204/12/2016Claimant(s): Randall Stafford
Claimant Lawyers(s): Scott D. Ellis
Respondent(s): Cynthia Maphet, Morgan Stanley
Respondent Lawyers(s): Melissa M. Muehlfeld
Arbitrator(s): James G. Cooper, Jack Chapline Vaughan, Francis Joseph Bourgeois
Hearing Site: Houston, TX
Checkmark IconExpungement
10-0534802/17/2012Claimant(s): Wells Fargo Investments
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Kenneth Horswell
Respondent Lawyers(s): Kenneth Alan Horswell
Arbitrator(s): James G. Cooper, Michael J. Ahlstrom, Jeff Kilgore
Hearing Site: Houston, TX
09-0133108/01/2011Claimant(s): Carl Meisner
Claimant Lawyers(s): Eric L. Rhodes
Respondent(s): David Endres, Citigroup Global Markets.
Respondent Lawyers(s): Raul Sanchez
Arbitrator(s): James G. Cooper, Philip I. McConnell, Charles E. Munson
Hearing Site: Houston, TX
Checkmark Icon$375
09-0391204/19/2011Claimant(s): John Hogge
Claimant Lawyers(s): Mark Cohen
Respondent(s): A.G. Edwards & Sons.
Respondent Lawyers(s): Will S. Montgomery
Arbitrator(s): James G. Cooper, George A. Sellnau, Philip I. McConnell
Hearing Site: Houston, TX
Checkmark Icon$0
09-0547811/22/2010Claimant(s): Sean Cusak
Claimant Lawyers(s): Rodney J. Heggy
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Ira G. Rosenstein
Arbitrator(s): James G. Cooper, Reginald Harris Brockwell, Martin Samuel Altimore
Hearing Site: Houston, TX
09-0207110/16/2009Claimant(s): Wachovia Securities
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): Lawrence Mcintosh
Respondent Lawyers(s): Lawrence Clyde Mcintosh
Arbitrator(s): James G. Cooper, Eli Bensky, Dale A. Hearn
Hearing Site: Houston, TX
07-0095105/29/2008Claimant(s): Douglas Habryl
Claimant Lawyers(s): Jeffrey R. Singer
Respondent(s): Ameriprise Advisor Services.
Respondent Lawyers(s): Edward A. Walton
Arbitrator(s): James G. Cooper, Martha Failing, James P. Hoefling
Hearing Site: Houston, TX

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