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FINRA Awards for Arno C. Schwethelm

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Case Number Award Date Case Summary Customer Case? Amount Granted
11-0235001/10/2012Claimant(s): SWBC Investment Services
Claimant Lawyers(s): Retta A. Miller
Respondent(s): Greg Thompson, Titleist Asset Management, Ltd.
Respondent Lawyers(s): Royal B. Lea
Arbitrator(s): Linda Broocks, Arno C. Schwethelm, Lynne M. Gomez
Hearing Site: Houston, TX
09-0336609/02/2010Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Justin A. Goldberg
Respondent(s): Angela Roark
Respondent Lawyers(s): Angela M. Roark
Arbitrator(s): Bertrand C. Moser, Arno C. Schwethelm, Marjorie C. Johnson
Hearing Site: Houston, TX

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