FINRA Awards for Thomas B. Phillips

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Displaying 4 out of 4 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
12-00492	05/29/2014	Claimant(s): Bobb Meckenstock Claimant Lawyers(s): Rodney K. Vincent Respondent(s): James Livingston, Scott Romine, National Planning Corporation Respondent Lawyers(s): Ross A. Anderson Arbitrator(s): Thomas B. Phillips, James A. Hayes, Van R. Oliver Hearing Site: Wichita, KS
12-01026	06/18/2013	Claimant(s): Wells Fargo Advisors Claimant Lawyers(s): Patrick J. Whalen Respondent(s): Kenneth Williams Respondent Lawyers(s): Marc S. Dobin Arbitrator(s): Thomas B. Phillips, M. W. Gear, Walter N. Vernon Hearing Site: Kansas City, MO
09-03272	08/02/2010	Claimant(s): Citigroup Global Markets. Claimant Lawyers(s): Jaymee Kahn Respondent(s): John Pemberton Respondent Lawyers(s): John Pemberton Arbitrator(s): Thomas B. Phillips, Joseph M. Rebein Hearing Site: Kansas City, MO
09-03762	12/03/2009	Claimant(s): Citigroup Global Markets. Claimant Lawyers(s): Justin A. Colberg Respondent(s): Daniel Stephens Respondent Lawyers(s): Daniel Lynn Stephens Arbitrator(s): Thomas B. Phillips Hearing Site: Kansas City, MO