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FINRA Awards for Courtney A. Jay Designated Bene Plan/TOD

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Case Number Award Date Case Summary Customer Case? Amount Granted
12-0282002/27/2013Claimant(s): Kimon Daifotis, Charles Schwab & Co..
Claimant Lawyers(s): Audette Paul Morales
Respondent(s): Robert Rose, Russell Brautigam, Russel D. Brautigam Roth Conv. IRA, Tom L. Poe and Margie Elaine Poe JT TEN, Andrew M. Clark Designated Bene Plan/TOD, Courtney A. Jay Designated Bene Plan/TOD
Respondent Lawyers(s): Thomas F. Shine
Arbitrator(s): Randall T. Stack, Patricia Gunn, Ronald A. Isackson
Hearing Site: Tampa, FL
Expungement
09-0595002/14/2012Claimant(s): Robert Rose, Russell Brautigam, Tom L. Poe and Margie Elaine Poe, Andrew M. Clark Designated Bene Plan/TOD, Courtney A. Jay Designated Bene Plan/TOD
Claimant Lawyers(s): Christopher T. Vernon
Respondent(s): Kimon Daifotis, Charles Schwab & Co..
Respondent Lawyers(s): Evelyn Best
Arbitrator(s): Paul L. Matecki, William F. Glaser, Horace A. Andrews
Hearing Site: Tampa, FL
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