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FINRA Awards for Sanders Morris Harris Inc.

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Case Number Award Date Case Summary Customer Case? Amount Granted
12-0144006/09/2014Claimant(s): Paul Westervelt, Tyler Kerrigan
Claimant Lawyers(s): Peter B. Sloss
Respondent(s): George Ball, William Sprague, Sanders Morris Harris Inc.
Respondent Lawyers(s): Jack D. Ballard, James Fornari
Arbitrator(s): Michael T. Nobile, Richard F. Dole, Allen M. Kerpan
Hearing Site: New Orleans, LA
12-0152705/05/2014Claimant(s): Robert Garrison
Claimant Lawyers(s): Jacks C. Nickens
Respondent(s): Sanders Morris Harris Inc.
Respondent Lawyers(s): Donald R. Littlefield
Arbitrator(s): Steve R. Neuman, Walter F. Schleyer, Charles E. Munson
Hearing Site: Houston, TX
12-0329104/01/2013Claimant(s): Sanders Morris Harris Inc.
Claimant Lawyers(s): Rose Romero
Respondent(s): Jimmy Day, John Gilbert
Respondent Lawyers(s): H. David Flowers, Mack E. Swindle
Arbitrator(s): Simeon R. Trotter, Melinda G. Jayson, Edward Bradbury Cloutman
Hearing Site: Dallas, TX

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