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FINRA Awards for James F. Carlson

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Displaying 11-16 out of 16 results
Case Number Award Date Case Summary Customer Case? Amount Granted
09-0366206/30/2011Claimant(s): Frances Lebrasca
Claimant Lawyers(s): Sandor Grossman
Respondent(s): Barbara Regnitz, Wachovia Securities, Muneera Dawood
Respondent Lawyers(s): Deirdre C. Wolff
Arbitrator(s): Victor Elting, James F. Carlson, Kenneth N. Adamson
Hearing Site: Chicago, IL
Checkmark IconStipulated Award and Expungement
09-0041509/07/2010Claimant(s): Laurel Blau Revocable Trust
Claimant Lawyers(s): Howard B. Prossnitz
Respondent(s): Kimon Daifotis, Charles Schwab & Co..
Respondent Lawyers(s): Ben Suter
Arbitrator(s): Robert L. Agusto, James F. Carlson, David M. Fetter
Hearing Site: Chicago, IL
Checkmark IconStipulated Award and Expungement
08-0397608/12/2010Claimant(s): Ila Mellul
Claimant Lawyers(s): Lawrence Rosen
Respondent(s): David Marcus, M Holdings Securities.
Respondent Lawyers(s): Eric A. Michaels
Arbitrator(s): Carole M. Crosby, James F. Carlson, Daniel Baruch Lidawer
Hearing Site: Chicago, IL
Checkmark IconStipulated Award and Expungement
08-0295807/26/2010Claimant(s): Anna Rasmussen, Robert Jack Rasmussen, Cust. Acct., Samuel Robert Rasmussen, Taylor Marie Rasmussen Cust. Acct.
Claimant Lawyers(s): Gregory A. Adamski
Respondent(s): LPL Financial LLC, John Donaldson, Professional Wealth Management.
Respondent Lawyers(s): Paul Weltlich, Peter B. Shaeffer
Arbitrator(s): Robin David, James F. Carlson, Hyram A. Evans
Hearing Site: Chicago, IL
Checkmark Icon$0
09-0710707/22/2010Claimant(s): David A. Noyes & Company
Claimant Lawyers(s): Robert L. Cram
Respondent(s): Brian Harris
Respondent Lawyers(s): Brian J. Harris
Arbitrator(s): James F. Carlson
Hearing Site: Chicago, IL
08-0420704/08/2009Claimant(s): Alex Roinitis
Claimant Lawyers(s): Alex Roinitis
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): James F. Carlson
Hearing Site: Chicago, IL
Checkmark Icon$213

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