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FINRA Awards for Dallas, TX

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Displaying 641-650 out of 666 results
Case Number Award Date Case Summary Customer Case? Amount Granted
07-0186203/27/2008Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Frank J. Vitolo
Respondent(s): Joel Griffin
Respondent Lawyers(s): Joel D. Griffin
Arbitrator(s): R. Theodore Moock
Hearing Site: Dallas, TX
05-0627703/20/2008Claimant(s): George C. & Viola W. Bartram
Claimant Lawyers(s): Richard A. Lewins
Respondent(s): Edward Jones
Respondent Lawyers(s): Sandra B. Gallini
Arbitrator(s): Synthia L. Taylor
Hearing Site: Dallas, TX
Checkmark Icon$0
06-0542202/08/2008Claimant(s): Fiduciary Financial Services
Claimant Lawyers(s): John A. Koepke
Respondent(s): Mark Warner, The Masters., VSR Financial Services.
Respondent Lawyers(s): Jon M. Stanfield, Nathan J. Schwartz
Arbitrator(s): Marie A. Moore, Richard A Miller, Anita M. Jean
Hearing Site: Dallas, TX
06-0536902/05/2008Claimant(s): Penson Financial Services.
Claimant Lawyers(s): Will S. Montgomery
Respondent(s): MISR Securities International
Respondent Lawyers(s): Debra G. Speyer
Arbitrator(s): Charles A. Joplin, C. Sumpter Logan, Larry N. Quinn
Hearing Site: Dallas, TX
Checkmark Icon$0
07-0044901/11/2008Claimant(s): Citigroup Global Markets., Citigroup Global Markets Holdings
Claimant Lawyers(s): W. Jerad Rissler
Respondent(s): Ronald Powell
Respondent Lawyers(s): Melissa Villarreal Garcia
Arbitrator(s): William E. Barker
Hearing Site: Dallas, TX
07-0068701/10/2008Claimant(s): Morgan Keegan & Company.
Claimant Lawyers(s): Shea O'Brien Hicks
Respondent(s): William Vancleve
Respondent Lawyers(s): William Early Vancleve
Arbitrator(s): Mark I Preston, Simeon R. Trotter, Preston Deaton Rigsby
Hearing Site: Dallas, TX
07-0176001/07/2008Claimant(s): Richard Littell
Claimant Lawyers(s): Richard E. Littell
Respondent(s): Keith Connolly, William Mancusi, Vision Securties.
Respondent Lawyers(s): Harry J. Delagrammatikas, William Anthony Mancusi, William Mancusi
Arbitrator(s): Joann Peters
Hearing Site: Dallas, TX
Checkmark Icon$2,908
06-0353112/31/2007Claimant(s): Carrie Mohundro
Claimant Lawyers(s): Joe Alfred Izen
Respondent(s): Richard Ibarra, Institutional Equity Corporation
Respondent Lawyers(s): David B. Dyer, Jeffrey Michel
Arbitrator(s): Robert L. Chisolm, Robert R. Marquardt, Larry N. Quinn
Hearing Site: Dallas, TX
Checkmark Icon$0
05-0644112/14/2007Claimant(s): Barry Raykoske
Claimant Lawyers(s): Jeanne Crandall
Respondent(s): Gregory Matthews, William Matthews, FSC Securities Corporation, NFP Securities.
Respondent Lawyers(s): Clint A. Corrie, D. Craig Brinker
Arbitrator(s): Diane Muse, Donald C. Hood, Robert J. Gregory
Hearing Site: Dallas, TX
Checkmark Icon$349,500
05-0264312/07/2007Claimant(s): Diana Lackey, Richard Lackey, The Lackey Family Trust
Claimant Lawyers(s): Diana L. Lackey, Richard Lackey
Respondent(s): James Ahern, Casimir Capital L.P.
Respondent Lawyers(s): Sameer Rastogi
Arbitrator(s): Phillip Lee Scheldt, John Courtade, Preston Deaton Rigsby
Hearing Site: Dallas, TX
Checkmark Icon$98,719

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