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FINRA Awards for Birmingham, AL

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Displaying 231-236 out of 236 results
Case Number Award Date Case Summary Customer Case? Amount Granted
08-0061503/19/2008Claimant(s): Tranqulino Ventura, Hartford Fire Insurance Co..
Claimant Lawyers(s): Richard E. Smith, Robert R. Hembree
Respondent(s): Robert Decker
Respondent Lawyers(s): Jason R. Ross
Arbitrator(s): Joy L. Aldridge, Ronald Griffith Wilkins
Hearing Site: Birmingham, AL
Expungement
07-0136302/29/2008Claimant(s): David Dawsey
Claimant Lawyers(s): Leah O. Taylor
Respondent(s): Ann Holman, Maxine Chappell, Raymond James Financial Services., AIG SunAmerica Life Assurance Co., Chappell & Holman Financial Advisors, In
Respondent Lawyers(s): Bruce W. Barnes, Joseph L. Larrinaga
Arbitrator(s): Robert G. Brunton, Ralph S. Paden, Daniel T. Hull
Hearing Site: Birmingham, AL
Checkmark Icon$0
06-0412002/27/2008Claimant(s): Genevieve Smith
Claimant Lawyers(s): Genevieve Smith
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Carole G. Miller
Arbitrator(s): A. Keith Logue, Gloria J Liddell, John F. Allgood
Hearing Site: Birmingham, AL
07-0187102/22/2008Claimant(s): Citigroup Global Markets., Citigroup Global Markets Holdings.
Claimant Lawyers(s): W. Jerad Rissler
Respondent(s): Christopher Keelin
Respondent Lawyers(s): Christopher W. Keelin
Arbitrator(s): Claude H. Paddock, Perry Lee Taylor, William Stephen Lee
Hearing Site: Birmingham, AL
06-0349101/03/2008Claimant(s): Kathryn Honea
Claimant Lawyers(s): J. Timothy Francis
Respondent(s): Bernard Michaud, Raymond James Financial Services.
Respondent Lawyers(s): Robert M. Rudnicki
Arbitrator(s): Victor L. Hayslip, Ronald Griffith Wilkins, Suzette Merriam Foster
Hearing Site: Birmingham, AL
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06-0522312/11/2007Claimant(s): Ronald Warren, Shelby Warren
Claimant Lawyers(s): Thomas E. Baddley
Respondent(s): Allen Wall, Julius Kenney, Michael Cramer, A.G. Edwards & Sons., Lifesource Solutions, The Estate of Julius Franklin Kenny III
Respondent Lawyers(s): Jeffrey W. Coverdell, Neil Warner Yahn
Arbitrator(s): Gloria J Liddell, Bryan M. Reed, Clarence H. Hampton
Hearing Site: Birmingham, AL
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