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FINRA Awards for Robert R. Sparks

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Case Number Award Date Case Summary Customer Case? Amount Granted
13-0283703/17/2015Claimant(s): The Estate of Harold Zimmerman
Claimant Lawyers(s): Robert R. Sparks
Respondent(s): John Steffen, Raymond James Financial Services., William Nagy, CFD Investments., Creative Financial Designs.
Respondent Lawyers(s): Erin K. Linehan, Paul D. Vink
Arbitrator(s): Stephen P. Calardo, Gregory P. Szuter, A. Brian McIntosh
Hearing Site: Cincinnati, OH
Checkmark Icon$165,148
11-0015710/26/2012Claimant(s): Edward Duffie, Eleanor Duffie, Edward R. & Eleanor N. Duffie Irr Trust
Claimant Lawyers(s): Robert R. Sparks
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Susan Poder MacFarlane
Arbitrator(s): Karla Y. Vogel, Arthur P. Barry, Patricia Ann Hone
Hearing Site: Atlanta, GA
Checkmark Icon$0

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