Cynthia L. Stirling, Cynthia L. Stirling Living Trust, Cynthia L. Stirling, Trustee U/A DTD 2/21/1997, Cynthia L. Stirling SEP IRA, Cynthia L. Stirling IRA Rollover v. James Firth Dowley, Wells Fargo Advisors, LLC
Published: Dec. 17, 2011 | Result Date: Nov. 23, 2011 | Filing Date: Jan. 1, 1900 |Case number: 10-05677 Arbitration – Denial
Court
FINRA
Attorneys
Claimant
Respondent
Samir J. Abdelnour
(Hanson Bridgett LLP)
Philip A. McLeod
(Keesal, Young & Logan APC)
Facts
Cynthia L. Stirling, Cynthia L. Stirling Living Trust, Cynthia L. Stirling Trustee U/A DTD 2/21/1997, Cynthia L. Stirling SEP IRA, and Cynthia L. Stirling IRA Rollover filed an action against James Firth Dowley and Wells Fargo Advisors, LLC in relation to respondents' management of money in municipal funds, bonds, retirement accounts, and unspecified equities.
Contentions
CLAIMANTS' CONTENTIONS:
Claimants alleged claims for unsuitability and breach of contract.
RESPONDENTS' CONTENTIONS:
Respondents denied the claims.
Damages
Claimants sought $339,950.
Result
The arbitration panel denied the claims.
Other Information
ARBITRATORS: Ferdinand Schoch, Helen Marinak Blohm, Mary Ellen Curran.
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