14-02788 | 09/08/2017 | Claimant(s): Liphard D'Souza, Sabrina D'Souza Claimant Lawyers(s): Chad M. Neuens Respondent(s): First Independent Financial Services Inc Respondent Lawyers(s): Gary S. Kessler Arbitrator(s): Kelley L. Cornelius, Philip I. McConnell, Van R. Oliver Hearing Site: Oklahoma City, OK
| | $94,852 |
15-01084 | 02/16/2016 | Claimant(s): Barbara Schroeder, Stefan Kreuzer, BAPG Partnership Ltd. Claimant Lawyers(s): Robert L. Herskovits Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Michael Rogala Respondent Lawyers(s): Nick Hendrix Arbitrator(s): Sherry R. Wetsch, Philip I. McConnell, Jeffrey R. Jury Hearing Site: Houston, TX
| | Expungement |
14-00644 | 12/22/2015 | Claimant(s): UBS Financial Services Inc. Claimant Lawyers(s): Brian S. Hormozi Respondent(s): Scott Mills Respondent Lawyers(s): Scott M. Garelick Arbitrator(s): Philip I. McConnell, Richard C. Corse, G. Maynard Green Hearing Site: Dallas, TX
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14-02943 | 08/06/2015 | Claimant(s): Mutual Of Omaha Investor Services. Claimant Lawyers(s): Patrick B. Griffin Respondent(s): Rodney Cochran Respondent Lawyers(s): Rodney C. Cochran Arbitrator(s): Philip I. McConnell, Robert J. Gregory, Beverly Jo McKemie Hearing Site: Dallas, TX
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13-02821 | 01/26/2015 | Claimant(s): Dorothy Robertson Claimant Lawyers(s): Samuel B. Edwards Respondent(s): Wells Fargo Advisors Respondent Lawyers(s): Vanessa M Hoffman Arbitrator(s): Philip I. McConnell, Maurice J. Fallas, Daniel Stephen Dexter Hearing Site: Houston, TX
| | Expungement |
13-03324 | 12/19/2014 | Claimant(s): James Rowe Claimant Lawyers(s): James M. Chaney Respondent(s): Michael Heaton, Paul Raisig, Robert Savage, Leonard Securities, Raisig & Connolly Respondent Lawyers(s): Joe M. Hampton, Paul Arthur Raisig Arbitrator(s): Jan Preece Gaddis, Philip I. McConnell, Rowland Denman Hearing Site: Oklahoma City, OK
| | $200,000 |
14-00287 | 12/11/2014 | Claimant(s): Cary Moomjian Claimant Lawyers(s): Cary A. Moomjian Respondent(s): TD Ameritrade. Respondent Lawyers(s): James J. Vihstadt Arbitrator(s): Philip I. McConnell, Lisa A Randall-Haag, Robert J. Steele Hearing Site: Dallas, TX
| | $0 |
12-03896 | 08/22/2014 | Claimant(s): Alison McIntosh, Arthur McIntosh Claimant Lawyers(s): J. Michael Ellis Respondent(s): Wells Fargo Advisors Respondent Lawyers(s): Deirdre Wolff Arbitrator(s): Philip I. McConnell, Maryanne M. Esser, Dianne Connally Betts Hearing Site: Dallas, TX
| | $0 |
13-00158 | 07/11/2014 | Claimant(s): Estate of Dr. John Wilkinson, MD, Estate of Regina Wilkinson Claimant Lawyers(s): William H. Oliver Respondent(s): Norma Kresta, BBVA Compass Insurance Agency., BBVA Compass Investment Solutions. Respondent Lawyers(s): Brannon C. Dillard, Sarah Santos Arbitrator(s): Bertrand C. Moser, Philip I. McConnell, Pamela Marcell Carroll Hearing Site: Houston, TX
| | $123,321 |
12-04060 | 04/21/2014 | Claimant(s): Wells Fargo Advisors Claimant Lawyers(s): Jack D. Ballard Respondent(s): Bill Callis Respondent Lawyers(s): Kenneth A. Zimmern Arbitrator(s): James M. Tipton, William D. Connally, Philip I. McConnell Hearing Site: Dallas, TX
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