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FINRA Awards for James Miller

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Case Number Award Date Case Summary Customer Case? Amount Granted
13-0110006/12/2014Claimant(s): James Miller
Claimant Lawyers(s): David L. Buelt
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Andrew R. Dick
Hearing Site: Omaha, NE
08-0491406/22/2011Claimant(s): Fidelity Brokerage Services LLC
Claimant Lawyers(s): Laurence K. Richmond
Respondent(s): James Miller
Respondent Lawyers(s): Lisa Boynton
Arbitrator(s): Robert W. Edler
Hearing Site: Chicago, IL
Stipulated Award
10-0078308/19/2010Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Michael S. Colombo
Respondent(s): James Miller
Respondent Lawyers(s): James R. Miller
Arbitrator(s): G. Maynard Green
Hearing Site: Dallas, TX

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