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FINRA Awards for Steven M. McCauley

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Displaying 10 out of 11 results
Case Number Award Date Case Summary Customer Case? Amount Granted
20-0307810/13/2021Claimant(s): James Alexander
Claimant Lawyers(s): Steven M. McCauley
Respondent(s): Joseph Depasquale, American Capital Partners
Respondent Lawyers(s): Michael H. Ference
Arbitrator(s): Bill Swinford, Frederick Ramos, Janet Marie Graham
Hearing Site: Louisville, KY
Checkmark IconExpungement
17-0102905/31/2018Claimant(s): Martha Jones, William Jones, Martha M. Jones Trust, Neal M. Jones Trust, William H. Jones, III Trust
Claimant Lawyers(s): Steven M. McCauley
Respondent(s): Fred Overbeck, Larry Taul, Murray Sinclaire
Respondent Lawyers(s): Trae D. Meyr
Arbitrator(s): Donna L. Pavlick, Janet M. Thompson, Mark A. Sipper
Hearing Site: Cincinnati, OH
Checkmark IconExpungement
12-0412803/21/2014Claimant(s): John Caudill, Molly Caudill
Claimant Lawyers(s): Steven M. McCauley
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David J. Butler
Arbitrator(s): Amelia F. Adams, Jeffrey M. Bain, Harold G. Wren
Hearing Site: Louisville, KY
Checkmark Icon$202,375
11-0476802/25/2013Claimant(s): David Bobo
Claimant Lawyers(s): Steven M. McCauley
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Randi Perry Spallina
Arbitrator(s): Joseph V. Simeri
Hearing Site: Louisville, KY
Checkmark Icon$103,290
11-0097305/04/2012Claimant(s): Chhaganbhai Patel, Jashuben Patel
Claimant Lawyers(s): Steven M. McCauley
Respondent(s): Naveen Bhagwani, Shondeep Balchandani
Respondent Lawyers(s): Naveen K. Bhagwani, Shondeep Sajan Balchandani
Arbitrator(s): Bill Swinford, Bernard D. Leachman, William Phillip Emrick
Hearing Site: Louisville, KY
Checkmark Icon$1,027,600
09-0602312/20/2010Claimant(s): Harriet Johnson, Jan Patton, Robert Patton
Claimant Lawyers(s): Steven M. McCauley
Respondent(s): Joseph Stricklin, Morgan Keegan & Company.
Respondent Lawyers(s): Janet P. Jakubowicz
Arbitrator(s): Amelia F. Adams, Allan Weiss, Gail Burke Tway
Hearing Site: Louisville, KY
Checkmark Icon$0
09-0384511/30/2010Claimant(s): John Allen
Claimant Lawyers(s): Steven M. McCauley
Respondent(s): Gregory Martino, Westrock Advisors.
Respondent Lawyers(s): Andrew Shapiro, Gregory Marcel Martino
Arbitrator(s): Madeleine B. Feldman, Todd Parker Lowe, R. Van Young
Hearing Site: Louisville, KY
Checkmark Icon$141,853
09-0570609/24/2010Claimant(s): The Luckett Family Trust
Claimant Lawyers(s): Steven M. McCauley
Respondent(s): U.S. Bancorp Investments.
Respondent Lawyers(s): Elizabeth M. Hill
Arbitrator(s): Bill Swinford
Hearing Site: Louisville, KY
Checkmark Icon$0
08-0124204/27/2009Claimant(s): Gerald Sklare
Claimant Lawyers(s): Steven M. McCauley
Respondent(s): Morgan Keegan & Company., Robert Elliott
Respondent Lawyers(s): Kathryn R. Eldridge
Arbitrator(s): John P. McShane, Lawrence W. Arness, Ruth A. Blum
Hearing Site: Louisville, KY
Checkmark Icon$115,116
06-0519703/05/2008Claimant(s): Billy Willoughby, Carol Morford, Clay Faulconer, Edward Graham, Helen Phillips, James Hellard, James Phillips, Jimmie Embry, Luster Palmer, Marcia Hicks, Richard Shelton, Robert McDonnell
Claimant Lawyers(s): Steven M. McCauley
Respondent(s): Byron Holley, A.G. Edwards & Sons.
Respondent Lawyers(s): Amy C. Johnson
Arbitrator(s): Bill Swinford, John P. McShane, David T. Maddux
Hearing Site: Louisville, KY
Checkmark Icon$497,071

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