FINRA Awards for R. Theodore Moock

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Displaying 3 out of 3 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
11-03649	11/14/2016	Claimant(s): PR Liquidating Trust Claimant Lawyers(s): Andrew B. Sommerman Respondent(s): Dewaay Financial Network Respondent Lawyers(s): Robbie Howe Arbitrator(s): R. Theodore Moock, Mark L. Williams, Jay M. Vogelson Hearing Site: Dallas, TX		$3,206,070
12-00016	04/01/2014	Claimant(s): Jay Dickens, Command Decisions., New Territory Investments, Ltd Claimant Lawyers(s): Bryan T. Forman Respondent(s): Ricky Mullins, Guardian Direct Energy Programs., Guardian Oil & Gas ., M & W Financial Inc. Respondent Lawyers(s): Rick Mullins Arbitrator(s): R. Theodore Moock, Ann Blaess Kimball, Robert Jerry Strader Hearing Site: Dallas, TX		Stipulated Award
09-00826	08/20/2010	Claimant(s): Rex Glendenning, Sherese Glendenning Claimant Lawyers(s): Howard J. Klatsky Respondent(s): Larry Milton, Raymond, James & Associates. Respondent Lawyers(s): Terrance A. Bostic Arbitrator(s): R. Theodore Moock, Lawrence R. Maxwell, Edward J. Lynch Hearing Site: Dallas, TX		Auction Rate Securities related