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FINRA Awards for James Turner

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Case Number Award Date Case Summary Customer Case? Amount Granted
13-0297412/30/2014Claimant(s): Ashraf Elghandour
Claimant Lawyers(s): Brian D. Spector
Respondent(s): James Turner, UBS Financial Services Inc.
Respondent Lawyers(s): J. Michael Riordan
Arbitrator(s): Charles L. Prothero, Chris P. Drucker, Robert E. Anderson
Hearing Site: Newark, NJ
11-0209008/02/2012Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Timothy N. Will
Respondent(s): James Turner
Respondent Lawyers(s): James Turner
Arbitrator(s): Deborah C. Bernot, Stephanie P. Lebhar, Robert Miller Lawder, CLU
Hearing Site: Phoenix, AZ

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