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FINRA Awards for Lawrence W. Kern

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Case Number Award Date Case Summary Customer Case? Amount Granted
09-0427109/07/2010Claimant(s): James Merryman
Claimant Lawyers(s): Lewis C Culpepper
Respondent(s): Christopher Hicks, First Tennessee Brokerage.
Respondent Lawyers(s): Mark D. Griffin
Arbitrator(s): Richard L. Oates, Edward M. Kaplan, Lawrence W. Kern
Hearing Site: Memphis, TN
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07-0344001/23/2009Claimant(s): RBC Capital Markets Corporation
Claimant Lawyers(s): Donald S. Arbour
Respondent(s): William Scull
Respondent Lawyers(s): Charles W. Hill
Arbitrator(s): Lawrence W. Kern, Elton W. Chartrand
Hearing Site: Memphis, TN
06-0185111/15/2007Claimant(s): BOSC.
Claimant Lawyers(s): Erica Anne Dorwart
Respondent(s): Brinkley Farnsworth
Respondent Lawyers(s): Charles W. Hill
Arbitrator(s): John Thomas Deutsch, F. Guthrie Castle, Lawrence W. Kern
Hearing Site: Memphis, TN

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