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FINRA Awards for Birmingham, AL

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Displaying 11-20 out of 236 results
Case Number Award Date Case Summary Customer Case? Amount Granted
22-0014507/18/2023Claimant(s): Charles Smith, Selrahc Ltd Partnership
Claimant Lawyers(s): Michael C. Bixby
Respondent(s): Worden Capital Management LLC, Gregory Bodkin, Jamie Worden, Richard Borgner
Respondent Lawyers(s): Charles M. O'Rourke, Jamie John Worden, Richard Reiss Borgner
Arbitrator(s): Mary Elizabeth Skelnik, Derry Olive Wilcox, Blake William Cole
Hearing Site: Birmingham, AL
Checkmark Icon$1,665,500
22-0236907/10/2023Claimant(s): Christopher Hagen
Claimant Lawyers(s): Joel M. Everest
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): Laura Ruiz Rivera
Arbitrator(s): Michael J. Ahlstrom
Hearing Site: Birmingham, AL
21-0060207/03/2023Claimant(s): Charlotte Baldwin, Rand Baldwin
Claimant Lawyers(s): Andrew P. Campbell
Respondent(s): Martin Pospicil, Raymond James Financial Services.
Respondent Lawyers(s): Jordan D. Maglich, Peter S. Fruin
Arbitrator(s): Michael J. Ahlstrom, Jon E Lewis, DeShannon McDonald
Hearing Site: Birmingham, AL
Checkmark IconExpungement
22-0085706/08/2023Claimant(s): Michael Ballard
Claimant Lawyers(s): Chelsea Bauer
Respondent(s): Concourse Financial Group Securities, In, G.F. Investment Services
Respondent Lawyers(s): Larry W. Yager, Margaret M. Siller
Arbitrator(s): Michael J. Ahlstrom
Hearing Site: Birmingham, AL
22-0214903/24/2023Claimant(s): James Roberson
Claimant Lawyers(s): Debra A. Jenks
Respondent(s): Edward Jones
Respondent Lawyers(s): Jonathan W. Hackbarth
Arbitrator(s): Earle J. Schwarz
Hearing Site: Birmingham, AL
22-0086812/06/2022Claimant(s): Stephen Williams
Claimant Lawyers(s): Avinoam Rosenfeld
Respondent(s): NEXT Financial Group.
Respondent Lawyers(s): John T. Unger
Arbitrator(s): Harvey R. Linder, Nathan Allen Collins, Cynthianther May
Hearing Site: Birmingham, AL
22-0086111/29/2022Claimant(s): Michael Ballard
Claimant Lawyers(s): Chelsea Bauer
Respondent(s): Madison Avenue Securities
Respondent Lawyers(s): Bradley Ziegler
Arbitrator(s): Michael J. Ahlstrom
Hearing Site: Birmingham, AL
22-0011409/23/2022Claimant(s): Gregory Crance
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Oneamerica Securities., Principal Securities.
Respondent Lawyers(s): Kathryn Roe Eldridge
Arbitrator(s): Mollie Wagner Neal
Hearing Site: Birmingham, AL
22-0011108/04/2022Claimant(s): Gregory Crance
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Principal Securities.
Respondent Lawyers(s): Kathryn Roe Eldridge
Arbitrator(s): Marvin Kent Speigner
Hearing Site: Birmingham, AL
21-0254607/14/2022Claimant(s): Jeannan Brewer, John Brewer
Claimant Lawyers(s): Harris Freedman
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): Laura T. Ruiz Rivera
Arbitrator(s): Michael J. Ahlstrom
Hearing Site: Birmingham, AL

236 Results

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