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FINRA Awards for Southwest Securities.

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Displaying 11-14 out of 14 results
Case Number Award Date Case Summary Customer Case? Amount Granted
07-0236504/06/2009Claimant(s): Southwest Securities.
Claimant Lawyers(s): Brian J. Hurst
Respondent(s): Carl Busch
Respondent Lawyers(s): Carl W. Busch
Arbitrator(s):
Hearing Site: Oklahoma City, OK
07-0100902/23/2009Claimant(s): Virgil Smith
Claimant Lawyers(s): Virgel L. Smith
Respondent(s): Southwest Securities.
Respondent Lawyers(s): Gary S. Kessler
Arbitrator(s): Simeon R. Trotter, Peter J. Conlon, David Max Sanderford
Hearing Site: Dallas, TX
07-0254611/10/2008Claimant(s): Roger Anderson
Claimant Lawyers(s): Joan A. Renegar
Respondent(s): Southwest Securities.
Respondent Lawyers(s): Bryan J. Hurst
Arbitrator(s): G. Dale McKissick, Daniel A. Kile, Edward J. Lynch
Hearing Site: Dallas, TX
07-0114503/10/2008Claimant(s): David Castillo
Claimant Lawyers(s): Cary S. Lapidus
Respondent(s): Southwest Securities.
Respondent Lawyers(s): Will S. Montgomery
Arbitrator(s): Harry B. Endsley, James Conrad Riewerts, Susan J. Alexander
Hearing Site: San Francisco, CA

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