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FINRA Awards for Richard L. Oates

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Case Number Award Date Case Summary Customer Case? Amount Granted
09-0427109/07/2010Claimant(s): James Merryman
Claimant Lawyers(s): Lewis C Culpepper
Respondent(s): Christopher Hicks, First Tennessee Brokerage.
Respondent Lawyers(s): Mark D. Griffin
Arbitrator(s): Richard L. Oates, Edward M. Kaplan, Lawrence W. Kern
Hearing Site: Memphis, TN
Checkmark Icon$0
08-0337011/13/2009Claimant(s): Percy Dover and Karen Dover
Claimant Lawyers(s): William J. Gladden
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Colleen D. Hitch
Arbitrator(s): Richard L. Oates, Donald K. Eckhardt, Jerry L. Hooper
Hearing Site: Memphis, TN
Checkmark Icon$0
05-0238808/07/2007Claimant(s): E*Trade Securities LLC
Claimant Lawyers(s): John Bersin
Respondent(s): Robert Pebbles
Respondent Lawyers(s): Robert Pebbles
Arbitrator(s): Richard L. Oates, F. Guthrie Castle, Jay R. Robinson
Hearing Site: Memphis, TN
Checkmark Icon$0

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