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FINRA Awards for Sws Financial Services

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Case Number Award Date Case Summary Customer Case? Amount Granted
10-0292403/13/2012Claimant(s): John Burch
Claimant Lawyers(s): Sheldon B. Swan
Respondent(s): Cathy Lombard-Conner, Lombard-Smith Investments., Sws Financial Services
Respondent Lawyers(s): Meghan E. George
Arbitrator(s): Michael R. Prescott, Robert L. Yeager, Thomas Bentley Baines
Hearing Site: Oklahoma City, OK
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