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FINRA Awards for John J. Miller

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Displaying 10 out of 17 results
Case Number Award Date Case Summary Customer Case? Amount Granted
16-0353201/26/2018Claimant(s): Renee Fields
Claimant Lawyers(s): John J. Miller
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Julie Fleming-Wolfe
Arbitrator(s): Michael D. Fitzgerald, Philip J. Glick, Edward J. Lynch
Hearing Site: Kansas City, MO
14-0294212/14/2015Claimant(s): Caroline Pruett
Claimant Lawyers(s): John J. Miller
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Mark D. Knoll
Arbitrator(s): Henry R. Cox, Betty R. Crumpton, John R. Loss
Hearing Site: Kansas City, MO
Checkmark Icon$101,072
14-0345609/04/2015Claimant(s): Margaret Shaft, Mark Shaft
Claimant Lawyers(s): John J. Miller
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Tracey Salmon-Smith
Arbitrator(s): Thomas J. Ray
Hearing Site: Kansas City, MO
Checkmark Icon$0
13-0153305/08/2014Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): Michael Middleton
Respondent Lawyers(s): John J. Miller
Arbitrator(s): Thomas J. Ray, Sandra K. Hummel, James A. Hayes
Hearing Site: Kansas City, MO
11-0120805/09/2012Claimant(s): Milton Ward
Claimant Lawyers(s): John J. Miller
Respondent(s): Brandon Leon, Michael Mcnulty, Michael Murphy, Olympia Asset Management,Ltd.
Respondent Lawyers(s): Charles M. O'Rourke, Timothy Feil
Arbitrator(s): Phillip Lee Scheldt, Mark L. Williams, Anita M. Jean
Hearing Site: Dallas, TX
Checkmark Icon$0
10-0340001/13/2012Claimant(s): Douglas Mirabelli, Kristin Mirabelli
Claimant Lawyers(s): John J. Miller
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Nathan T. Alexander
Arbitrator(s): Larry C. Kreul, John F. Burns, Jacqueline R. Fox
Hearing Site: Detroit, MI
Checkmark Icon$1,239,000
10-0437411/22/2011Claimant(s): Grisel Wiley, Jerry Wiley, Grisel Wiley Irrevocable Life Ins. Trust, Jerry Wiley Irrevocable Life Ins Trust, The Grisel Wiley Living Trust
Claimant Lawyers(s): John J. Miller
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Ronald P. Kane
Arbitrator(s): Sherry L. Robinson, John R. Loss, Michael J. Hunter
Hearing Site: Kansas City, MO
Checkmark Icon$0
09-0693011/08/2011Claimant(s): Patsy Potter
Claimant Lawyers(s): John J. Miller
Respondent(s): Brent McCune, Sagepoint Financial., Randall Coble, Mutual Service Corporation
Respondent Lawyers(s): David J. Freniere, Greg Curley
Arbitrator(s): Lonnie L. Cunningham, M. W. Gear, Walter N. Vernon
Hearing Site: Kansas City, MO
Checkmark Icon$0
10-0198206/21/2011Claimant(s): Margaret Lyddon, The Margaret C. Lyddon Rev. Trust
Claimant Lawyers(s): John J. Miller
Respondent(s): Bankers & Investors Co.
Respondent Lawyers(s): Roger N. Walter
Arbitrator(s): Michael D. Fitzgerald, John W. Jones, Walter N. Vernon
Hearing Site: Kansas City, MO
Checkmark Icon$0
09-0650506/09/2011Claimant(s): Dawn Fogel, Patricia Bunch, The Dawn Deramus Fogel Trust, The Patricia Deramus Bunch Trust
Claimant Lawyers(s): John J. Miller
Respondent(s): J. Matheis, Berthel, Fisher & Co. Financial Serv
Respondent Lawyers(s): Jeffrey J. Brinker
Arbitrator(s): Michael D. Fitzgerald, Joseph M. Rebein, Sherry L. Robinson
Hearing Site: Kansas City, MO
Checkmark Icon$0

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