| 11-03649 | 11/14/2016 | Claimant(s): PR Liquidating Trust
Claimant Lawyers(s): Andrew B. Sommerman
Respondent(s): Dewaay Financial Network
Respondent Lawyers(s): Robbie Howe
Arbitrator(s): R. Theodore Moock, Mark L. Williams, Jay M. Vogelson
Hearing Site: Dallas, TX
|  | $3,206,070 |
| 12-00016 | 04/01/2014 | Claimant(s): Jay Dickens, Command Decisions., New Territory Investments, Ltd
Claimant Lawyers(s): Bryan T. Forman
Respondent(s): Ricky Mullins, Guardian Direct Energy Programs., Guardian Oil & Gas ., M & W Financial Inc.
Respondent Lawyers(s): Rick Mullins
Arbitrator(s): R. Theodore Moock, Ann Blaess Kimball, Robert Jerry Strader
Hearing Site: Dallas, TX
| | Stipulated Award |
| 11-01615 | 03/01/2013 | Claimant(s): Raymond, James & Associates.
Claimant Lawyers(s): William Schmitt
Respondent(s): Marc Prda
Respondent Lawyers(s): J. Randle Henderson
Arbitrator(s): R. Theodore Moock, William E. Hartsfield, Melinda G. Jayson
Hearing Site: Dallas, TX
| | |
| 10-02638 | 06/03/2011 | Claimant(s): Morgan Keegan & Company.
Claimant Lawyers(s): Will S. Montgomery
Respondent(s): Michael Venable
Respondent Lawyers(s): Cody L. Towns
Arbitrator(s): R. Theodore Moock, Maryanne M. Esser, Corbet F. Bryant
Hearing Site: Dallas, TX
| | |
| 09-00826 | 08/20/2010 | Claimant(s): Rex Glendenning, Sherese Glendenning
Claimant Lawyers(s): Howard J. Klatsky
Respondent(s): Larry Milton, Raymond, James & Associates.
Respondent Lawyers(s): Terrance A. Bostic
Arbitrator(s): R. Theodore Moock, Lawrence R. Maxwell, Edward J. Lynch
Hearing Site: Dallas, TX
| | Auction Rate Securities related |
| 09-01641 | 03/16/2010 | Claimant(s): Penson Financial Services.
Claimant Lawyers(s): Steven H. Thomas
Respondent(s): Jesup & Lamont Securities Corp
Respondent Lawyers(s): Todd A. Zuckerbrod
Arbitrator(s): R. Theodore Moock, Robert R. Nursey, Robert E. Behrendt
Hearing Site: Dallas, TX
| | |
| 07-01862 | 03/27/2008 | Claimant(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
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