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FINRA Awards for James M. Stern

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Displaying 11-13 out of 13 results
Case Number Award Date Case Summary Customer Case? Amount Granted
09-0036202/24/2010Claimant(s): Patricia A. Lambert IRA, Carl E. Lambert and Patricia A. Lambert
Claimant Lawyers(s): Stuart R. Berkowitz
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): Terrance A. Bostic
Arbitrator(s): Anthony J. Soukenik, James M. Stern, Heath O. Lauseng
Hearing Site: St. Louis, MO
Checkmark Icon$0
09-0327102/12/2010Claimant(s): Estate of Roger D. Emling
Claimant Lawyers(s): Christopher T. O'Connor
Respondent(s): UMB Financial Services.
Respondent Lawyers(s): Donald D. McBride
Arbitrator(s): Anthony J. Soukenik, Julie L. DeWitt, James M. Stern
Hearing Site: St. Louis, MO
Checkmark Icon$0
07-0165706/12/2008Claimant(s): Robert Baker, Shirley Baker, Robert J. and Shirley J. Baker Trust
Claimant Lawyers(s): Steve Koslovsky
Respondent(s): R. Rose, Financial Planning Consultants Inc.
Respondent Lawyers(s): Alex M. Kanter
Arbitrator(s): Lynn D. (Doug) Newton, David B. Lacks, James M. Stern
Hearing Site: St. Louis, MO
Checkmark Icon$0

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