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FINRA Awards for R. Theodore Moock

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Case Number Award Date Case Summary Customer Case? Amount Granted
11-0161503/01/2013Claimant(s): Raymond, James & Associates.
Claimant Lawyers(s): William Schmitt
Respondent(s): Marc Prda
Respondent Lawyers(s): J. Randle Henderson
Arbitrator(s): R. Theodore Moock, William E. Hartsfield, Melinda G. Jayson
Hearing Site: Dallas, TX
10-0263806/03/2011Claimant(s): Morgan Keegan & Company.
Claimant Lawyers(s): Will S. Montgomery
Respondent(s): Michael Venable
Respondent Lawyers(s): Cody L. Towns
Arbitrator(s): R. Theodore Moock, Maryanne M. Esser, Corbet F. Bryant
Hearing Site: Dallas, TX
09-0164103/16/2010Claimant(s): Penson Financial Services.
Claimant Lawyers(s): Steven H. Thomas
Respondent(s): Jesup & Lamont Securities Corp
Respondent Lawyers(s): Todd A. Zuckerbrod
Arbitrator(s): R. Theodore Moock, Robert R. Nursey, Robert E. Behrendt
Hearing Site: Dallas, TX
07-0186203/27/2008Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Frank J. Vitolo
Respondent(s): Joel Griffin
Respondent Lawyers(s): Joel D. Griffin
Arbitrator(s): R. Theodore Moock
Hearing Site: Dallas, TX

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