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FINRA Awards for Stephen L. Flint

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Case Number Award Date Case Summary Customer Case? Amount Granted
13-0167207/18/2014Claimant(s): John Meadows, John Anthony Meadows IRA
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Geoffrey Beckham
Arbitrator(s): Paul Lansing, Stephen L. Flint, William Gibson Heller
Hearing Site: Indianapolis, IN
Checkmark Icon$30,000
11-0331910/11/2012Claimant(s): Lyle Amrhein, Ray and Evelyn Amrhein Joint Acct.
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): Jerry Smith, Regional Investment Services.
Respondent Lawyers(s): Jerry Allen Smith, Jerry Fedasch
Arbitrator(s): Tim V. Young, Sherrill Wm Colvin, Stephen L. Flint
Hearing Site: Indianapolis, IN
Checkmark Icon$177,325
10-0570804/20/2012Claimant(s): David Fox
Claimant Lawyers(s): Brian G. Issacson
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): G. Wayne Hillis
Arbitrator(s): Stuart D. Summers, Todd L. Barlow, Stephen L. Flint
Hearing Site: Indianapolis, IN
Checkmark Icon$375
09-0530312/23/2010Claimant(s): Raymond, James & Associates.
Claimant Lawyers(s): Kelli Bullington
Respondent(s): Steve Nolen
Respondent Lawyers(s): Gary Nolen
Arbitrator(s): Michael F. Fetsch, Tim V. Young, Stephen L. Flint
Hearing Site: Indianapolis, IN

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