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FINRA Awards for Nashville, TN

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Displaying 141-145 out of 145 results
Case Number Award Date Case Summary Customer Case? Amount Granted
07-0131502/15/2008Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Thomas Cooper
Respondent Lawyers(s): Thomas Stephen Cooper
Arbitrator(s): Richard L. Oates, Thomas C. Moxley, Richard Lee Matthews
Hearing Site: Nashville, TN
07-0026510/26/2007Claimant(s): Heather Asbell
Claimant Lawyers(s): Jonathan Jackson Pledger
Respondent(s): W. O'Rear, Woodbury Financial Services.
Respondent Lawyers(s): Jane Crisp, Paul A. Fischer
Arbitrator(s): John C. West
Hearing Site: Nashville, TN
06-0450010/22/2007Claimant(s): RBC Capital Markets Corporation
Claimant Lawyers(s): John R. Jacobson
Respondent(s): Timothy Forsman
Respondent Lawyers(s): Kenneth R. Jones
Arbitrator(s): David N. Burn, Allen S. Bjork, Lovella L. Richardson
Hearing Site: Nashville, TN
07-0125509/24/2007Claimant(s): Beverly Ashton
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Morgan Stanley DW Inc., Ralph Drayer
Respondent Lawyers(s): Christopher Gawley
Arbitrator(s): R. Thomas Barksdale, Bill Swinford, Frank E. Barnett
Hearing Site: Nashville, TN
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06-0379508/31/2007Claimant(s): David Luther
Claimant Lawyers(s): Seth E. Lipner
Respondent(s): Chicago Investment Group
Respondent Lawyers(s): James L. Kopecky
Arbitrator(s): Marion R. Allen, G. Brooks Euler, Neil Harvey Smith
Hearing Site: Nashville, TN
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