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FINRA Awards for James Chris Mills

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Case Number Award Date Case Summary Customer Case? Amount Granted
14-0058112/05/2014Claimant(s): Ralph Rubin, Terry Rubin, Trustee of Doris Goodman
Claimant Lawyers(s): Todd A Zuckerbrod
Respondent(s): PNC Investments LLC
Respondent Lawyers(s): Brian A. Carlis
Arbitrator(s): Kimberly A. Gilmour, Joel F. Martineau, James Chris Mills
Hearing Site: Boca Raton, FL
Checkmark Icon$0
07-0348712/10/2008Claimant(s): Vincent P. Miraglia, MD, PA, Trustee
Claimant Lawyers(s): Richard A. Stephens
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Jason S. Haselkorn
Arbitrator(s): Marie G. Peterson, Barry S. Shanbron, James Chris Mills
Hearing Site: Boca Raton, FL
Checkmark Icon$0
07-0014910/24/2007Claimant(s): Averill Fisk
Claimant Lawyers(s): Lonnie K. Martens
Respondent(s): Tradestation Securities
Respondent Lawyers(s): Marc Stone
Arbitrator(s): Elena G. Rodriguez, Walter A. Bajak, James Chris Mills
Hearing Site: Boca Raton, FL
Checkmark Icon$65,000

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