14-02745 | 10/15/2015 | Claimant(s): Ida Mae Shawn, Julie Fowler Claimant Lawyers(s): Kevin Edmundson Respondent(s): Cecil Ross, Raymond James Financial Services. Respondent Lawyers(s): Jack D. Ballard Arbitrator(s): Harry J Saginaw, Keith L. Saunders, Jill M. Zacha Hearing Site: Dallas, TX
| | $100,000 |
12-03425 | 03/10/2015 | Claimant(s): Randy Karp & Associates Defined Benefit, Randy Karp Rollover IRA Claimant Lawyers(s): William B. Young Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Randi Perry Spallina Arbitrator(s): Harry J Saginaw, Lawrence R. Maxwell, Melvin H. Wolovits Hearing Site: Dallas, TX
| | Expungement |
12-02920 | 09/30/2013 | Claimant(s): Dora Davis Claimant Lawyers(s): Richard H. Elliott Respondent(s): Stephanie Hrycyk, Hrycyk Financial, LLP Respondent Lawyers(s): David B. Dyer Arbitrator(s): William L. Cravens, Harry J Saginaw, Lawrence R. Maxwell Hearing Site: Dallas, TX
| | Stipulated Award |
12-00584 | 09/05/2013 | Claimant(s): The Odessa Firemen's Relief & Retiremen Claimant Lawyers(s): Joe Wojciechowski Respondent(s): Morgan Keegan & Company. Respondent Lawyers(s): Peter Fruin Arbitrator(s): Harry J Saginaw, Don G Miller, Douglas Wade Carvell Hearing Site: Dallas, TX
| | $399,566 |
12-01306 | 07/25/2013 | Claimant(s): Bevrose Investments LP, Emmrose Investments LP, LNR Investments LP, Penrose Investments LP Claimant Lawyers(s): Richard A. Lewins Respondent(s): Oppenheimer & Co.. Respondent Lawyers(s): Deborah Dickstein Arbitrator(s): Harry J Saginaw, James Douglas Haigh, Dineo Coleman Gary Hearing Site: Dallas, TX
| | $75,000 |
11-02607 | 03/08/2012 | Claimant(s): Roth IRA fbo Judy L. O'Briien, SEP IRA fbo Thomas O'Brien Claimant Lawyers(s): Randall K. Calvert Respondent(s): LPL Financial LLC Respondent Lawyers(s): Jennifer L. Carpenter Arbitrator(s): Harry J Saginaw Hearing Site: Oklahoma City, OK
| | $5,575 |
04-04999 | 07/11/2008 | Claimant(s): Richard Bennett Claimant Lawyers(s): John J. Hopkins Respondent(s): J.P. Morgan Clearing Corp., Matthew Pickett Respondent Lawyers(s): John C. Allen Arbitrator(s): Patrick Lanier, William B. Madden, Harry J Saginaw Hearing Site: Dallas, TX
| | Stipulated Award and Expungement |