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FINRA Awards for James K. Barbee

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Case Number Award Date Case Summary Customer Case? Amount Granted
10-0220409/22/2011Claimant(s): Charles Miller, Debra Miller, Miller Family Trust
Claimant Lawyers(s): Patrick C. Quinlivan
Respondent(s): Aldo Ciuffetelli, Edward Jones
Respondent Lawyers(s): Dennis J. Capriglione
Arbitrator(s): John A. Bender, Frederic E. Dorkin, James K. Barbee
Hearing Site: Seattle, WA
Checkmark Icon$0
09-0214303/25/2011Claimant(s): Karen Rey
Claimant Lawyers(s): William M. Bankston
Respondent(s): Wedbush Securities Inc., Thomas Packer
Respondent Lawyers(s): Charles LaChaussee
Arbitrator(s): Robert M. Stein, Michael R.E. Sanders, James K. Barbee
Hearing Site: Anchorage, AK
Checkmark Icon$228,670
09-0580710/27/2010Claimant(s): Andrew Becker, Donna Fisher, Andrew N. Becker Simplified Plan
Claimant Lawyers(s): Carl J. Carlson
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Russell B. Wuehler
Arbitrator(s): William J. Bender, James K. Barbee, Gary Ray Edwards
Hearing Site: Seattle, WA
Checkmark IconExpungement

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