| 15-01452 | 12/20/2016 | Claimant(s): Kimberly Rose
Claimant Lawyers(s): Stephany D. McLaughlin
Respondent(s): Southwest Securities.
Respondent Lawyers(s): Jonathan D. Neerman
Arbitrator(s): Thomas F. Ryan, Charles Orlove, Michael J. Rappa
Hearing Site: Chicago, IL
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| 14-02566 | 02/23/2016 | Claimant(s): Edward Andrew, Mark Hepworth
Claimant Lawyers(s): Kim Thorne, Scott A. Stewart
Respondent(s): Southwest Securities.
Respondent Lawyers(s): John T. Gerhart
Arbitrator(s): Daniel C. Dooley, Henry J. Ackels, Joseph Neal Richardson
Hearing Site: Dallas, TX
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| 14-03445 | 08/21/2015 | Claimant(s): Southwest Securities.
Claimant Lawyers(s): Richard D. Pullman
Respondent(s): Neville Richardson
Respondent Lawyers(s): Neville Richardson
Arbitrator(s): James N. D'Orso
Hearing Site: San Francisco, CA
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| 13-03506 | 03/18/2015 | Claimant(s): Paul Moorman
Claimant Lawyers(s): Robert C. Wiegand
Respondent(s): Southwest Securities.
Respondent Lawyers(s): D. Lance Currie
Arbitrator(s): William E. Hartsfield, Robert E. Treadaway, Walter Scott Cowger
Hearing Site: Dallas, TX
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| 11-02651 | 06/19/2013 | Claimant(s): Southwest Securities.
Claimant Lawyers(s): Richard D. Pullman
Respondent(s): Bruce Lewin
Respondent Lawyers(s): Bruce Lewin
Arbitrator(s): Donald Vincent Enright, G. Maynard Green, C. Sumpter Logan
Hearing Site: Dallas, TX
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| 10-01622 | 11/10/2011 | Claimant(s): Donald Wilson
Claimant Lawyers(s): Kirk B. Freeman
Respondent(s): Southwest Securities.
Respondent Lawyers(s): Will S. Montgomery
Arbitrator(s): Jane Bradley, David J. Romanski, Dennis Markham Smith
Hearing Site: San Francisco, CA
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| 09-03917 | 03/23/2011 | Claimant(s): Southwest Securities.
Claimant Lawyers(s): Brian J. Hurst
Respondent(s): Bryan Luter
Respondent Lawyers(s): Joyce W. Lindauer
Arbitrator(s): Linda B. Kelly, George F. Longino, Margaret Louise Ruckriegel
Hearing Site: Dallas, TX
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| 09-05216 | 09/13/2010 | Claimant(s): Gary Miles
Claimant Lawyers(s): Wayne G. Johnson
Respondent(s): Gregory Randall, Jac Tomasello, Southwest Securities., U.S. Brokerage.
Respondent Lawyers(s): Gregory A. Randall, Jac G. Tomasello, Jonathan D. Neerman
Arbitrator(s): Thomas H. Barnard, Elena M. Colianni, William L. White
Hearing Site: Pittsburgh, PA
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| 09-03738 | 11/13/2009 | Claimant(s): Edward Schiavi
Claimant Lawyers(s): Christopher M. Moody
Respondent(s): Southwest Securities.
Respondent Lawyers(s): Eric R. Hail
Arbitrator(s): Richard R. Edmister
Hearing Site: Albuquerque, NM
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| 07-02338 | 04/06/2009 | Claimant(s): Carl Busch
Claimant Lawyers(s): Joan A. Renegar
Respondent(s): Southwest Securities.
Respondent Lawyers(s): Brian J. Hurst
Arbitrator(s): Michael R. Prescott, Kelley L. Cornelius, Carroll O. Johnson
Hearing Site: Oklahoma City, OK
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