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FINRA Awards for Robert H. Putnam

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Displaying 41-50 out of 85 results
Case Number Award Date Case Summary Customer Case? Amount Granted
16-0008003/02/2017Claimant(s): Malcom Blankenship
Claimant Lawyers(s): Malcom B. Blankenship
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jennifer R. Willey
Arbitrator(s): Robert H. Putnam
Hearing Site: Charlotte, NC
Checkmark IconExpungement
16-0004908/22/2016Claimant(s): Raymond, James & Associates.
Claimant Lawyers(s): Dominique E. Heller
Respondent(s): Andrew Niehus
Respondent Lawyers(s): Andrew Joseph Niehus
Arbitrator(s): Robert H. Putnam
Hearing Site: Columbia, SC
15-0027505/02/2016Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Alan S. Brodherson
Respondent(s): Jason Dudley
Respondent Lawyers(s): Jason Loy Dudley
Arbitrator(s): Robert H. Putnam, Deborah A. Jackson, Julieta L Smith
Hearing Site: Atlanta, GA
15-0180601/07/2016Claimant(s): SunTrust Investment Services.
Claimant Lawyers(s): Caryn D. Shaw
Respondent(s): Cynthia Wadkinson
Respondent Lawyers(s): Cynthia Lynn Wadkinson
Arbitrator(s): Robert H. Putnam
Hearing Site: Charlotte, NC
14-0259312/16/2015Claimant(s): Eric Martin
Claimant Lawyers(s): Alexander Mark Rowland
Respondent(s): Arash Assadzadeh, Wells Fargo Advisors, Louis Ayala
Respondent Lawyers(s): Deidre C. Wolff, Louis Alfonso Ayala, Scott Holcomb
Arbitrator(s): Robert H. Putnam
Hearing Site: Atlanta, GA
Checkmark Icon$3,600
14-0149112/07/2015Claimant(s): Barclays Capital Inc.
Claimant Lawyers(s): G. Wayne Hillis
Respondent(s): William Pair
Respondent Lawyers(s): William Thomas Pair
Arbitrator(s): Chandler R Bridges, Perry Lee Taylor, Robert H. Putnam
Hearing Site: Atlanta, GA
14-0120707/21/2015Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): David J. Sensenig
Respondent(s): Kenneth Walters
Respondent Lawyers(s): Kenneth Scott Walters
Arbitrator(s): Robert H. Putnam
Hearing Site: Atlanta, GA
14-0017005/19/2015Claimant(s): Juan Rosado
Claimant Lawyers(s): Harold D. Vicente-Colon
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc Of PR
Respondent Lawyers(s): Bradley B. Rounsaville, Roberto Quinones
Arbitrator(s): Ron Pekoe, Robert H. Putnam, Herbert Branitsky
Hearing Site: San Juan, PR
Checkmark Icon$1,000,000
13-0091112/05/2014Claimant(s): Chatur Chhabbhaya
Claimant Lawyers(s): Chatur Chhabbhaya
Respondent(s): Ivan Angulo, Kishankumar Koladiya, Niyukt Bhasin, NSM Securities.
Respondent Lawyers(s): Ivan Dario Angulo, Kishankumar M. Koladiya, Niyukt Raghu Bhasin, Niyukt Bhasin
Arbitrator(s): Robert H. Putnam, John F. Allgood, Osei J Adoma
Hearing Site: Atlanta, GA
Checkmark Icon$0
13-0155610/27/2014Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Keith J Barnett
Respondent(s): George Claussen
Respondent Lawyers(s): James S. V. Weston
Arbitrator(s): Robert H. Putnam
Hearing Site: Atlanta, GA

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