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FINRA Awards for James C. Cosby

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Displaying 5 out of 5 results
Case Number Award Date Case Summary Customer Case? Amount Granted
21-0240108/16/2022Claimant(s): Jimmy Woollen, Stephanie Woollen
Claimant Lawyers(s): Amy L.B. Hill
Respondent(s): Andrew Hall, Cindy Chiellini, Ricky Mantei, Centaurus Financial., J.P. Turner & Company
Respondent Lawyers(s): James C. Cosby, Jonathan Cole, Steven E. Mellen
Arbitrator(s): Mimi B. Osiason, Christopher Cecil Lamb, John G. Shamp
Hearing Site: Columbia, SC
Checkmark IconExpungement
18-0381201/03/2020Claimant(s): NEXT Financial Group.
Claimant Lawyers(s): Todd Ratner
Respondent(s): Erryn Barkett
Respondent Lawyers(s): James C. Cosby
Arbitrator(s): Nancy E. Watters
Hearing Site: Richmond, VA
14-0244407/27/2015Claimant(s): Robert Pierson
Claimant Lawyers(s): James C. Cosby
Respondent(s): Don Davis
Respondent Lawyers(s): Kirk Smith
Arbitrator(s): Douglas Earl McLaren, Overman Randolph Rollins, Alison Wright Feehan
Hearing Site: Richmond, VA
Expungement
12-0140411/15/2013Claimant(s): Sharon Gardner-Howder, Sharon E. Gardner-Howder IRA
Claimant Lawyers(s): Kirk Smith
Respondent(s): RBC Capital Markets Corporation
Respondent Lawyers(s): James C. Cosby
Arbitrator(s): Steven E. Eisenberg, Michael D Felton, Peter A. Portley
Hearing Site: Boca Raton, FL
Checkmark IconExpungement
11-0101212/27/2011Claimant(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
Checkmark Icon$0

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