19-02027 | 01/10/2020 | Claimant(s): Wells Fargo Clearing Services Claimant Lawyers(s): Jessica Klein Respondent(s): James Johnson Respondent Lawyers(s): James E. Johnson Arbitrator(s): Michael L. Lyons Hearing Site: Columbus, OH
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15-02425 | 05/04/2018 | Claimant(s): Wells Fargo Advisors Claimant Lawyers(s): Lisa S. Fildes Respondent(s): Alice Bates, James Johnson, Jeffrey Hughes, Robert Samson, Tyson Ray, William Finke Respondent Lawyers(s): Lisa S. Fildes, Matthew B. Baum, William George Finke Arbitrator(s): Langfred W. White, Gregory D. Hoffmann, James Arthur Taylor Hearing Site: Tampa, FL
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16-00435 | 02/28/2018 | Claimant(s): James Johnson Claimant Lawyers(s): William D. Brandt Respondent(s): Bridgette Justis, Edward Jones Respondent Lawyers(s): Paul Yarns Arbitrator(s): George King Hearing Site: Portland, OR
| | Expungement |
14-03522 | 11/24/2015 | Claimant(s): James Johnson, Sara Johnson Claimant Lawyers(s): James R. Johnson Respondent(s): Keith Holland, Morgan Stanley, Ricardo Desoto Respondent Lawyers(s): Brian C. Hale Arbitrator(s): James C. Hoover Hearing Site: Charlotte, NC
| | $70 |
11-03116 | 05/22/2013 | Claimant(s): Michael Stief Claimant Lawyers(s): Marie Mirch Respondent(s): Adam Antoniades, Alan Marcum, Catherine Cosgrove, Chapin Giordano, Craig Dindinger, David Rogers, Donna Bartlett, Dwight Badger, Garrett Merrill, Keith Daubenspeck, Michael Marderosian, Advanced Equities., First Allied Securities. Respondent Lawyers(s): Jeffrey Compton, Marie Mirch, Michael Frederick Marderosian Arbitrator(s): James O. Johnson, William L. Merkin, Sally G. Williams Hearing Site: San Diego, CA
| | Expungement |
11-01845 | 05/01/2012 | Claimant(s): James Johnson Claimant Lawyers(s): Philip J. Snyderburn Respondent(s): Todd Bauerle, Bauerle Financial. Respondent Lawyers(s): Jeffrey B. Kelvin, Compliance Consultant, Kirk T. Bauer Arbitrator(s): Stuart K. Furman, Joseph John Mantione, Lauren S. Puritz Hearing Site: Orlando, FL
| | $7,500 |
11-01012 | 12/27/2011 | Claimant(s): John Francesconi Claimant Lawyers(s): John Francesconi Respondent(s): James Johnson Respondent Lawyers(s): James C. Cosby Arbitrator(s): Paul Davis Pearlstein, Stephan Paul Carrier, Donald B. Katz Hearing Site: Richmond, VA
| | $0 |
06-02304 | 08/15/2008 | Claimant(s): Norman Hellerud Claimant Lawyers(s): Patrick N. Keegan Respondent(s): Bruce Oakes Respondent Lawyers(s): Bruce D. Oakes Arbitrator(s): Stephen R. Clark, James O. Johnson, Vytas Tarulis Hearing Site: San Diego, CA
| | $0 |