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FINRA Awards for James Stephan Mulholland

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Displaying 4 out of 4 results
Case Number Award Date Case Summary Customer Case? Amount Granted
15-0315007/13/2016Claimant(s): Timothy Craiger
Claimant Lawyers(s): Joseph Fogel
Respondent(s): Capital City Securities
Respondent Lawyers(s): Todd E. Crawford
Arbitrator(s): James R. Duncan, Mark S. Priver, James Stephan Mulholland
Hearing Site: Los Angeles, CA
Checkmark IconDismissed by Rule 12206
10-0265912/05/2014Claimant(s): Christopher Barra, Luis Sampedro
Claimant Lawyers(s): R. Rogge Dunn
Respondent(s): Goldman, Sachs and Company
Respondent Lawyers(s): Robin D. Fessel
Arbitrator(s): Sandra L. Malek, James Stephan Mulholland, John B. La Rue
Hearing Site: Los Angeles, CA
08-0132708/16/2010Claimant(s): Amnon Kawa, Amva Holdings, L. P.
Claimant Lawyers(s): Silvio Nardoni
Respondent(s): Shlomo Eplboim, Eplboim, Poutre & Co.
Respondent Lawyers(s): David Berke
Arbitrator(s): Roberta Haft, Marvin B. Karelitz, James Stephan Mulholland
Hearing Site: Los Angeles, CA
Checkmark Icon$253,843
09-0350404/16/2010Claimant(s): Mid Coast Builders, Mid Coast Builders Supply Inc. 1, Mid Coast Builders Supply. 2, The New Mid-Coast Plan BJC, The New Mid-Coast Plan BJC PM, The New Mid-Coast Plan REC, The Cook Trust dtd 5/3/88
Claimant Lawyers(s): Alan R. Templeman
Respondent(s): Citigroup Global Markets., John Sottile, Morgan Stanley Smith Barney
Respondent Lawyers(s): Alejandro Schwed
Arbitrator(s): Stanley C. Morris, Steven J. Feldman, James Stephan Mulholland
Hearing Site: Los Angeles, CA
Checkmark Icon$0

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