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FINRA Awards for James W. Halter

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Case Number Award Date Case Summary Customer Case? Amount Granted
15-0200612/01/2017Claimant(s): Matt Summerville
Claimant Lawyers(s): James W. Halter
Respondent(s): Keybanc Capital Markets Inc.
Respondent Lawyers(s): Jeffrey S. Dunlap
Arbitrator(s): Jeffrey M. Bain, David M. Panko, David Rosenblum Cohen
Hearing Site: Cleveland, OH
10-0269308/26/2011Claimant(s): David Halter
Claimant Lawyers(s): James W. Halter
Respondent(s): Robert Paretti, RBC Capital Markets LLC
Respondent Lawyers(s): Joseph F. Generelli, Joseph F. Generlli
Arbitrator(s): Charles L. Prothero
Hearing Site: Newark, NJ
Checkmark IconStipulated Award and Expungement

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