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FINRA Awards for Robert H. Putnam

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Displaying 71-80 out of 85 results
Case Number Award Date Case Summary Customer Case? Amount Granted
09-0524601/11/2011Claimant(s): FTB, GC&KB Investments.
Claimant Lawyers(s): Stephen D. Marx
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Thomas A. Roberts
Arbitrator(s): Robert H. Putnam, Frederick S. Duncan, Mario Alberto Arteaga
Hearing Site: New Orleans, LA
Checkmark Icon$85,507
10-0142008/20/2010Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Beth Delaney
Respondent(s): Sherrey Harper
Respondent Lawyers(s): Sherrey A. Harper
Arbitrator(s): Robert H. Putnam
Hearing Site: Houston, TX
09-0591608/05/2010Claimant(s): David Miller
Claimant Lawyers(s): William G. Leonard
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Julie Fleming-Wolfe
Arbitrator(s): Robert H. Putnam, George S. Willingham, Wallace T. Tanksley
Hearing Site: Atlanta, GA
09-0451406/10/2010Claimant(s): Virginia Kaye Corley
Claimant Lawyers(s): Barry D. Broome
Respondent(s): Wachovia Securities, James Stanley, Kathy Daisey, Kim Thomas, Kristin Sarafinis, Luther Reames, Mark Moore, Scott Tittle, Steve Kelleher
Respondent Lawyers(s): Deirdre Wolff
Arbitrator(s): Robert H. Putnam, Mollie Wagner Neal, Alfred Lee Dingler
Hearing Site: Atlanta, GA
Checkmark Icon$0
09-0520104/19/2010Claimant(s): Saul Crafton
Claimant Lawyers(s): Saul Crafton
Respondent(s): TD Ameritrade Clearing.
Respondent Lawyers(s): Catherine Luth
Arbitrator(s): Robert H. Putnam
Hearing Site: Jacksonville, FL
Checkmark Icon$257
09-0406703/02/2010Claimant(s): Cleveland Foret, Joan Foret
Claimant Lawyers(s): James F. Willeford
Respondent(s): Legg Mason Wood Walker, Sterne, Agee & Leach.
Respondent Lawyers(s): Jason W. Gaarder, Meredith Jowers Lees
Arbitrator(s): Robert H. Putnam, Michael T. Nobile, William Gilbert Faulk
Hearing Site: New Orleans, LA
Checkmark IconDismissed by Rule 12206
09-0617802/26/2010Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Jeffrey M. Csercsevits
Respondent(s): David Raack
Respondent Lawyers(s): David Raack
Arbitrator(s): Robert H. Putnam
Hearing Site: Houston, TX
09-0560002/25/2010Claimant(s): Bruce Brookshire
Claimant Lawyers(s): Bruce C. Brookshire
Respondent(s): George Hamby, James Day, Capitol Securities Management.
Respondent Lawyers(s): Janet K. DeCosta
Arbitrator(s): Robert H. Putnam
Hearing Site: New Orleans, LA
Checkmark Icon$0
08-0015809/03/2009Claimant(s): Nilmaris Cardona
Claimant Lawyers(s): Paul Vilaro Nelms
Respondent(s): David Lugo Sanchez, UBS Financial Services Incorporated of P
Respondent Lawyers(s): Carlos Bobonis-Gonzalez
Arbitrator(s): Robert H. Putnam, Alan B. Goldstein, Edward Arthur Horton
Hearing Site: San Juan, PR
08-0062207/22/2009Claimant(s): Candace Patterson, William Patterson
Claimant Lawyers(s): Steven J. Gard
Respondent(s): Century Securities Associates.
Respondent Lawyers(s): Christopher G. Lazarini
Arbitrator(s): Robert H. Putnam, Arthur P. Barry, Bonnie B. Revoner
Hearing Site: Atlanta, GA
Checkmark Icon$0

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