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FINRA Awards for James Clifton Stone

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Displaying 6 out of 6 results
Case Number Award Date Case Summary Customer Case? Amount Granted
15-0020211/02/2016Claimant(s): Elizabeth Johnson
Claimant Lawyers(s): Elizabeth H. Johnson
Respondent(s): Lloyd Painter, Painter Financial
Respondent Lawyers(s): Brian Nally
Arbitrator(s): James Clifton Stone, Allan Weiss, Anthony G. Belak
Hearing Site: Louisville, KY
Checkmark Icon$0
11-0376807/31/2012Claimant(s): Jeffrey Jennings
Claimant Lawyers(s): Jeff Jennings
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Marcie Mintz
Arbitrator(s): Bill Swinford, James Clifton Stone, Jeffrey M. Bain
Hearing Site: Louisville, KY
09-0395108/27/2010Claimant(s): David Roberts
Claimant Lawyers(s): John Sale Gordon
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): Erin Linehan
Arbitrator(s): James Clifton Stone, Jan M. West, Enrico A. Mazzoli
Hearing Site: Louisville, KY
Checkmark Icon$22,999
07-0307610/01/2009Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): M. Barker
Respondent Lawyers(s): Tracy Barker
Arbitrator(s): James Clifton Stone, Peter L. Pointer, John C. Schenkenfelder
Hearing Site: Cincinnati, OH
07-0346601/16/2009Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Kerrie Best
Respondent Lawyers(s): Kerrie L. Best
Arbitrator(s): James Clifton Stone, Michael F. Fetsch, Robert L. Smith
Hearing Site: Indianapolis, IN
07-0198405/06/2008Claimant(s): Robert Wells
Claimant Lawyers(s): Sandor Grossman
Respondent(s): Banc One Securties Corp.
Respondent Lawyers(s): Andrew I Sutter
Arbitrator(s): James Clifton Stone, Hugh C. Durbin, Randall S. Strause
Hearing Site: Louisville, KY
Checkmark Icon$0

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