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FINRA Awards for William Jones

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Case Number Award Date Case Summary Customer Case? Amount Granted
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
16-0358001/08/2018Claimant(s): William Jones
Claimant Lawyers(s): Edwin Glenn Waldrop
Respondent(s): David Searcy, Morgan Stanley
Respondent Lawyers(s): Peter S. Fruin, Todd H. Cox
Arbitrator(s): Lawrence R. Maxwell, Matthew Reid Krell, Cynthianther May
Hearing Site: Birmingham, AL
Checkmark Icon$79,370
10-0256907/26/2011Claimant(s): William Jones
Claimant Lawyers(s): Stephen P. Meyer
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Denis C. Dice
Arbitrator(s): Frank C. Fogl
Hearing Site: Charleston, WV
Checkmark IconExpungement

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