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FINRA Awards for Michael J. Stern

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Displaying 7 out of 7 results
Case Number Award Date Case Summary Customer Case? Amount Granted
17-0133005/17/2018Claimant(s): Vasileios Sfyris
Claimant Lawyers(s): Alan M. Wolper
Respondent(s): First Southern Securities.
Respondent Lawyers(s): John Holman
Arbitrator(s): Robert H. Putnam, Michael J. Stern, Shawn Barr
Hearing Site: Atlanta, GA
17-0133105/04/2018Claimant(s): William Hawk
Claimant Lawyers(s): Alan M. Wolper
Respondent(s): First Southern Securities.
Respondent Lawyers(s): John Holman
Arbitrator(s): Michael J. Stern, John F. Allgood, David Frank Walbert
Hearing Site: Atlanta, GA
16-0186602/07/2017Claimant(s): David Miller
Claimant Lawyers(s): Ronald M. Amato
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Chandler R Bridges, Michael J. Stern, John F. Allgood
Hearing Site: Atlanta, GA
09-0209507/29/2011Claimant(s): Braden Partners, L.P., Elsa Gaze Braden Trust, Grant Braden Education Trust
Claimant Lawyers(s): Gerald B. Kline
Respondent(s): Joshua Krentzman, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Julie Portera
Arbitrator(s): Michael J. Stern, Anne H. Orr, George Harrison Lemmond
Hearing Site: Atlanta, GA
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10-0062011/30/2010Claimant(s): Morgan Keegan & Company.
Claimant Lawyers(s): William Schmitt
Respondent(s): Robert Wilder
Respondent Lawyers(s): Robert Scott Wilder
Arbitrator(s): Michael J. Stern, Harvey R. Linder, Mohr Ernest Hill
Hearing Site: Atlanta, GA
09-0128810/06/2010Claimant(s): Morgan Keegan & Company.
Claimant Lawyers(s): Eric Jon Taylor
Respondent(s): Jeremy Tintle
Respondent Lawyers(s): Jeremy G. Tintle
Arbitrator(s): Perry Lee Taylor, Michael J. Stern, Bonnie B. Revoner
Hearing Site: Atlanta, GA
08-0146407/14/2009Claimant(s): Delano Colston
Claimant Lawyers(s): Debra Brewer Hayes
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Peter S. Fruin
Arbitrator(s): Michael J. Stern, Dave Wolf, David E. Morris
Hearing Site: Atlanta, GA
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