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FINRA Awards for James W. Kerr

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Displaying 11-17 out of 17 results
Case Number Award Date Case Summary Customer Case? Amount Granted
10-0578409/26/2014Claimant(s): West Texas National Bank
Claimant Lawyers(s): John J. Schirger
Respondent(s): Shay Financial Services.
Respondent Lawyers(s): Mark R. McDonald
Arbitrator(s): Kurt L. Smith, Andrea U. Calve, James W. Kerr
Hearing Site: Dallas, TX
Checkmark Icon$0
13-0311105/14/2014Claimant(s): Velma Petty
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Carlos E. Provencio
Arbitrator(s): James W. Kerr
Hearing Site: Birmingham, AL
Checkmark Icon$0
10-0134308/01/2011Claimant(s): Beatrice McRae, Buford McRae, Robert Lee, B.E. McRae Family Limited Partnership, Robert Earl Lee Rev Trust
Claimant Lawyers(s): Kalju Nekvasil
Respondent(s): Capwest Securities.
Respondent Lawyers(s): H. Thomas Fehn
Arbitrator(s): Robert L. Chisolm, Richard Frederick Schaufert, James W. Kerr
Hearing Site: Dallas, TX
Checkmark Icon$931,960
09-0503212/15/2010Claimant(s): Ensco International Incorporated
Claimant Lawyers(s): Robert L. Wright
Respondent(s): Jefferies & Company.
Respondent Lawyers(s): Martin J. Auberbach
Arbitrator(s): Robert E. Treadaway, Edward J. Lynch, James W. Kerr
Hearing Site: Dallas, TX
Checkmark Icon$0
07-0127211/11/2009Claimant(s): Billy House, Curley Bernard, David Gallien, George Terry, Gordie Greening, Gregory Bonnett, Judy Casey, Linda Corley, Michael Gilcrease, Roger House
Claimant Lawyers(s): Lee Bowie
Respondent(s): ENTERED IN ERROR, Gregory Hildebrand, Peter Dahlstrom, Intersecurities.
Respondent Lawyers(s): Burton W. Wiand, Katherine C. Donlon, Lee Bowie
Arbitrator(s): Nicole T. LeBoeuf, James W. Kerr, Larry N. Quinn
Hearing Site: Dallas, TX
Checkmark IconDismissed by Rule 12206
08-0475408/10/2009Claimant(s): Credit Suisse Securities (USA) LLC
Claimant Lawyers(s): Allan N. Taffet
Respondent(s): Investment Hunter
Respondent Lawyers(s): Richard A. Lewins
Arbitrator(s): Robert L. Yeager, Charles T. Dix, James W. Kerr
Hearing Site: Dallas, TX
Checkmark Icon$0
08-0073704/21/2009Claimant(s): Brian Armstrong, Shawndi Hatfield
Claimant Lawyers(s): Randall M. Foret
Respondent(s): Julie Rosenthal, William Rosenthal
Respondent Lawyers(s): Thomas S. Brandon
Arbitrator(s): Tony Michael Haddock, James W. Kerr, Mary Elizabeth Skelnik
Hearing Site: Dallas, TX

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