| 15-01452 | 12/20/2016 | Claimant(s): Kimberly Rose
Claimant Lawyers(s): Stephany D. McLaughlin
Respondent(s): Southwest Securities.
Respondent Lawyers(s): Jonathan D. Neerman
Arbitrator(s): Thomas F. Ryan, Charles Orlove, Michael J. Rappa
Hearing Site: Chicago, IL
| | |
| 14-02864 | 04/05/2016 | Claimant(s): Ashley Lowe, James "Russell" Fregia, Larry Lowe, Laura Lowe, Maxine Fregia, Melissa Prasek, Mike Prasek, Nathan Lowe, Cycast LTD, El Rey Salt Company.
Claimant Lawyers(s): Andrew B. Sommerman
Respondent(s): Southwest Securities., Wade Lawrence
Respondent Lawyers(s): Corbet F. Bryant, Wade Lawrence
Arbitrator(s):
Hearing Site: Dallas, TX
|  | $167,737 |
| 14-02286 | 03/18/2016 | Claimant(s): Carol Craig
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Southwest Securities., John Coyle
Respondent Lawyers(s): Clint A. Corrie
Arbitrator(s): Robert J. Gregory, Gerald Ray Waterston, Eric Ross Cromartie
Hearing Site: Dallas, TX
| | $2,500 |
| 14-02566 | 02/23/2016 | Claimant(s): Edward Andrew, Mark Hepworth
Claimant Lawyers(s): Kim Thorne, Scott A. Stewart
Respondent(s): Southwest Securities.
Respondent Lawyers(s): John T. Gerhart
Arbitrator(s): Daniel C. Dooley, Henry J. Ackels, Joseph Neal Richardson
Hearing Site: Dallas, TX
| | |
| 14-03445 | 08/21/2015 | Claimant(s): Southwest Securities.
Claimant Lawyers(s): Richard D. Pullman
Respondent(s): Neville Richardson
Respondent Lawyers(s): Neville Richardson
Arbitrator(s): James N. D'Orso
Hearing Site: San Francisco, CA
| | |
| 13-03506 | 03/18/2015 | Claimant(s): Paul Moorman
Claimant Lawyers(s): Robert C. Wiegand
Respondent(s): Southwest Securities.
Respondent Lawyers(s): D. Lance Currie
Arbitrator(s): William E. Hartsfield, Robert E. Treadaway, Walter Scott Cowger
Hearing Site: Dallas, TX
| | |
| 11-04601 | 09/05/2014 | Claimant(s): Estate of Roberta A. Hott
Claimant Lawyers(s): Bobby M. Rubarts
Respondent(s): Southwest Securities., Mark Hepworth, S&P Investors.
Respondent Lawyers(s): Andrew T. Hepworth, John T. Gerhart
Arbitrator(s): Robert L. Yeager, Jay M. Vogelson, Kerry Wallace Bowman
Hearing Site: Dallas, TX
| | $0 |
| 12-00239 | 10/29/2013 | Claimant(s): Leonard Jarvis, Monica Jarvis, Leonard E. Jarvis Rollover IRA, Monica A. Jarvis Rollover IRA
Claimant Lawyers(s): Matthew W. Frank
Respondent(s): Adolph Tieppo, Florence Klein, Southwest Securities., American Classic Financial Company
Respondent Lawyers(s): Anthony R. Paesano, Florence Kein, Jonathan D. Neerman
Arbitrator(s): John F. Burns, James Patrick Graven, Thomas W. Lawson
Hearing Site: Detroit, MI
| | $50,000 |
| 11-04036 | 06/26/2013 | Claimant(s): Pansy Yankey
Claimant Lawyers(s): Nathan J Schwartz
Respondent(s): Southwest Securities.
Respondent Lawyers(s): Clint A. Corrie
Arbitrator(s): Phillip Lee Scheldt, Daniel A. Kile, Patricia B. Lehtola
Hearing Site: Dallas, TX
| | Expungement |
| 11-02651 | 06/19/2013 | Claimant(s): Southwest Securities.
Claimant Lawyers(s): Richard D. Pullman
Respondent(s): Bruce Lewin
Respondent Lawyers(s): Bruce Lewin
Arbitrator(s): Donald Vincent Enright, G. Maynard Green, C. Sumpter Logan
Hearing Site: Dallas, TX
| | |
