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FINRA Awards for Richard D. Pullman

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Case Number Award Date Case Summary Customer Case? Amount Granted
23-0307211/18/2024Claimant(s): Hilltop Securities Inc.
Claimant Lawyers(s): Richard D. Pullman
Respondent(s): Careena Patel
Respondent Lawyers(s): Dochtor Kennedy
Arbitrator(s): Edward S. Koppman, Eric Ross Cromartie, Angela L. Sanders
Hearing Site: Dallas, TX
14-0344508/21/2015Claimant(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
11-0265106/19/2013Claimant(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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