| 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
| | |
| 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
| | |
| 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 |
