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FINRA Awards for James E. Lane

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Case Number Award Date Case Summary Customer Case? Amount Granted
11-0164408/17/2012Claimant(s): Morgan Stanley
Claimant Lawyers(s): Jeffrey Zimmerman
Respondent(s): Richard Swetish
Respondent Lawyers(s): Christopher A. Dorsey
Arbitrator(s): Sherry R. Wetsch, Brian E. Bro, James E. Lane
Hearing Site: Houston, TX
08-0085806/05/2009Claimant(s): Alan Meinen, Jane Meinen, The Meinen Family Partnership, Ltd.
Claimant Lawyers(s): Melanie D. Bragg
Respondent(s): Shawn Goheen, American General Securities Incorporated
Respondent Lawyers(s): David K. Bissinger, Melinda Lucas Peevy
Arbitrator(s): Raymond C. Kerr, James E. Lane, Mark Edward Tredennick
Hearing Site: Houston, TX
Checkmark Icon$1,301,250
04-0820011/09/2007Claimant(s): Barbara Davis
Claimant Lawyers(s): C. Mark Stratton
Respondent(s): Emmett Johnson, Prudential Equity Group, Warren Johnson
Respondent Lawyers(s): James M. McCown, Retta Miller
Arbitrator(s): James E. Lane, Daniel J. Pagnano, Edmund Herbert Hecht
Hearing Site: Houston, TX
Checkmark Icon$130,000

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