| 10-05712 | 03/06/2012 | Claimant(s): Jack Laskey, Helen D. Laskey I.R.A., Jack R. Laskey I.R.A.
Claimant Lawyers(s): Mark C. Watler
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Retta A. Miller
Arbitrator(s): Ronald R. Simpson, Robert Dan Sherrill, Daniel J. Pagnano
Hearing Site: Houston, TX
|  | $300 |
| 07-01716 | 11/12/2010 | Claimant(s): Bill Allen, Chester Goff, Clyde Moseley, James Franovich, James Gully, Jimmie Gammage, Jimmy Schafer, John Rogers, Larry Hammonds, Raymon Beckham, Reed Bond, Richard Bosarge, Wilson Miller
Claimant Lawyers(s): Mack A. Bethea
Respondent(s): Wachovia Securities, Prudential Equity Group
Respondent Lawyers(s): Retta A. Miller
Arbitrator(s): George A. Sawyer, Mark A. Myers, Cynthia Lee Traina
Hearing Site: Jackson, MS
| | $2,079,300 |
| 07-01704 | 10/26/2010 | Claimant(s): Andrew Elly, James Snow, Rayford Dunnam
Claimant Lawyers(s): Mack A. Bethea
Respondent(s): Prudential Equity Group, William Brownell
Respondent Lawyers(s): Retta A. Miller
Arbitrator(s): Kendall P. Hill, Mark A. Myers, Robert Thomas Killelea
Hearing Site: Jackson, MS
| | $656,000 |
| 08-01204 | 06/04/2009 | Claimant(s): Brian McDonald
Claimant Lawyers(s): Retta A. Miller
Respondent(s): Robyn Reagan, Regal Securities Inc.
Respondent Lawyers(s): Nicholas P. Iavarone, Steven J. Berry
Arbitrator(s): Maxel (Bud) B. Silverberg, George F. Longino, Leighton Aiken
Hearing Site: Dallas, TX
| | $172,864 |
| 06-01656 | 03/28/2008 | Claimant(s): Brenna Lynn Michaels, Cust. Acct., Kevin J. Moody, Cus. Acct, Kyle Moody, Kevin J. Moody & Richard Moody, Ryan Moody and Richard Moody, Richard J. Moody Revocable Living Tr., Richard J. Moody, Rev.Liv.Tr.
Claimant Lawyers(s): A. Daniel Woska
Respondent(s): Prudential Equity Group
Respondent Lawyers(s): Retta A. Miller
Arbitrator(s): Edwin E O'Brien, Carroll O. Johnson, Mary Day Smelser
Hearing Site: Oklahoma City, OK
| | $0 |
| 06-03506 | 09/26/2007 | Claimant(s): Deirdre North, FBO Blair A. Riddell Education Trust, FBO Blake A. Riddell Education Trust
Claimant Lawyers(s): William O. Wuester
Respondent(s): RBC Capital Markets Corporation
Respondent Lawyers(s): Retta A. Miller
Arbitrator(s): Bill M. Lamoreaux, Joseph J. Ligi, Larrie Alan Weil
Hearing Site: Dallas, TX
| | $0 |
