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FINRA Awards for James A. Hughes

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Case Number Award Date Case Summary Customer Case? Amount Granted
21-0296710/20/2022Claimant(s): Amy Diehl
Claimant Lawyers(s): James A. Hughes
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Emma C. Tomsick
Arbitrator(s): Ann Elizabeth Sarli
Hearing Site: San Francisco, CA
12-0111508/09/2013Claimant(s): Cambridge Investment Research.
Claimant Lawyers(s): Thomas Rittenburg
Respondent(s): Henry Korngut
Respondent Lawyers(s): James A. Hughes
Arbitrator(s): Michael J. Fish
Hearing Site: San Francisco, CA
07-0289705/23/2008Claimant(s): Wachovia Securities, A.G. Edwards & Sons.
Claimant Lawyers(s): Katherine B. Harrison
Respondent(s): Cathy McJilton, Stifel, Nicolaus & Co.., Denise Gilseth, Kelly Stomgren, Samuel Slayden
Respondent Lawyers(s): James A. Hughes, Kenneth C. Mennemeier
Arbitrator(s): Harry B. Endsley, Ralph A. Cotton, E. Duane Stephens
Hearing Site: San Francisco, CA

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