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FINRA Awards for Sterne Agee Financial Services.

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Displaying 3 out of 3 results
Case Number Award Date Case Summary Customer Case? Amount Granted
15-0266604/16/2018Claimant(s): Mary Lee Darby Revocable Trust
Claimant Lawyers(s): Allisaon S. Ficken
Respondent(s): William Smith, Sterne Agee Financial Services.
Respondent Lawyers(s): Peter S. Fruin
Arbitrator(s): Robert N. Leitch, Jay A Kaplan, Larry Kenneth Lott
Hearing Site: Atlanta, GA
Checkmark IconExpungement
15-0317601/06/2017Claimant(s): Barbara Lattanze, Robert Lattanze
Claimant Lawyers(s): Richard Frankowski
Respondent(s): Catherine Mewborn, Sterne Agee Financial Services.
Respondent Lawyers(s): J. Anthony Penry, Peter S. Fruin
Arbitrator(s): Gayle B. Carlson
Hearing Site: Raleigh, NC
Checkmark Icon$6,593
12-0052804/25/2013Claimant(s): Donald Kress, Patricia Kress
Claimant Lawyers(s): Michael Hanson
Respondent(s): John Orlando, Sterne Agee Financial Services.
Respondent Lawyers(s): David Feingold
Arbitrator(s): Jack Friedman, David J. Weisenfeld, Nicholas C. George
Hearing Site: New York, NY
Checkmark Icon$0

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