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FINRA Awards for James C. Hoover

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Displaying 11-20 out of 42 results
Case Number Award Date Case Summary Customer Case? Amount Granted
20-0005711/11/2020Claimant(s): Michael Wiercinski
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): James C. Hoover
Hearing Site: Charlotte, NC
18-0010204/15/2020Claimant(s): Raymond James Financial Services.
Claimant Lawyers(s): George L. Guerra
Respondent(s): Eric Wilson, Lee Jordan, Michael Carbajal, William Schroth
Respondent Lawyers(s): Craig Kuglar, George L. Guerra
Arbitrator(s): Barbara Black, James C. Hoover, Karen M Kassouf
Hearing Site: Atlanta, GA
19-0254603/26/2020Claimant(s): Scott Tittle
Claimant Lawyers(s): Kurt Kalberer
Respondent(s): Edward Jones, Wells Fargo Clearing Services
Respondent Lawyers(s): Darren Goodman, Deirdre Wolff
Arbitrator(s): James C. Hoover
Hearing Site: Atlanta, GA
19-0069702/12/2020Claimant(s): Charles Goldberg
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Tracey Salmon-Smith
Arbitrator(s): James C. Hoover
Hearing Site: Atlanta, GA
19-0203512/18/2019Claimant(s): Thomas Mathews
Claimant Lawyers(s): Alan Wolper
Respondent(s): Transamerica Financial Advisors
Respondent Lawyers(s): Susan D. Duff
Arbitrator(s): James C. Hoover
Hearing Site: Atlanta, GA
19-0027008/28/2019Claimant(s): Matthew Kilpatrick
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Gregory Crance, OneAmerica Securities.
Respondent Lawyers(s): Emily Sides Bonds, Julie Wilson Portera
Arbitrator(s): James C. Hoover
Hearing Site: Atlanta, GA
Checkmark Icon$300
18-0262404/19/2019Claimant(s): John Davis
Claimant Lawyers(s): John H. Davis
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Noah D. Sorkin
Arbitrator(s): James C. Hoover
Hearing Site: Birmingham, AL
Checkmark Icon$0
18-0102412/11/2018Claimant(s): T Thompson
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Deirdre Wolff
Arbitrator(s): James C. Hoover
Hearing Site: Atlanta, GA
17-0028208/23/2018Claimant(s): Joan Pierce
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): William O.L. Hutchinson
Arbitrator(s): Michael J. Ahlstrom, James C. Hoover, John Winslow Griesser
Hearing Site: Columbia, SC
Checkmark IconExpungement
17-0032110/20/2017Claimant(s): Melissa Dano
Claimant Lawyers(s): Melissa Dano
Respondent(s): SunTrust Investment Services.
Respondent Lawyers(s): Josef Y. Rosen
Arbitrator(s): James P. Kinkade, James C. Hoover, John F. Allgood
Hearing Site: Atlanta, GA
Checkmark Icon$0

42 Results

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