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FINRA Awards for Philip I. McConnell

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Displaying 11-20 out of 22 results
Case Number Award Date Case Summary Customer Case? Amount Granted
11-0047211/27/2013Claimant(s): Karl Steffes, Susan Steffes, Karl Steffes IRA Rollover
Claimant Lawyers(s): Seth E. Lipner
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): Philip I. McConnell, Charles S. Chester, Brian James Tagtmeier
Hearing Site: Houston, TX
Checkmark IconExpungement
10-0496510/04/2012Claimant(s): Brian O'Grady, The O'Grady Family Partnership, Ltd.
Claimant Lawyers(s): Sheldon E. Richie
Respondent(s): Brett Schulick, David Miller, River Oaks Capital Management.
Respondent Lawyers(s): Andrew Leibowitz
Arbitrator(s): Philip I. McConnell, Lynne M. Gomez, William R. Jonson
Hearing Site: Houston, TX
Checkmark Icon$3,988,180
11-0286410/02/2012Claimant(s): Janie Orr, John Orr
Claimant Lawyers(s): Robert D. O'Conor
Respondent(s): Wells Fargo Advisors, Perry Lyons
Respondent Lawyers(s): Michael A. Rodriguez
Arbitrator(s): Philip I. McConnell, Jack Chapline Vaughan, Joshua D. Wallach
Hearing Site: Houston, TX
Checkmark IconExpungement
11-0415806/22/2012Claimant(s): Keith Adams
Claimant Lawyers(s): Jeffrey David Miller
Respondent(s): Robert Stout, The Street.
Respondent Lawyers(s): R.W. Stout, Robert Wesley Stout
Arbitrator(s): Patricia J. Branco, Philip I. McConnell, Frances Johnson Wright
Hearing Site: Dallas, TX
09-0133108/01/2011Claimant(s): Carl Meisner
Claimant Lawyers(s): Eric L. Rhodes
Respondent(s): David Endres, Citigroup Global Markets.
Respondent Lawyers(s): Raul Sanchez
Arbitrator(s): James G. Cooper, Philip I. McConnell, Charles E. Munson
Hearing Site: Houston, TX
Checkmark Icon$375
09-0391204/19/2011Claimant(s): John Hogge
Claimant Lawyers(s): Mark Cohen
Respondent(s): A.G. Edwards & Sons.
Respondent Lawyers(s): Will S. Montgomery
Arbitrator(s): James G. Cooper, George A. Sellnau, Philip I. McConnell
Hearing Site: Houston, TX
Checkmark Icon$0
09-0420411/16/2010Claimant(s): George Allibone, June Allibone, Allibone Family Ltd. Partnership
Claimant Lawyers(s): Ernest W. Boyd
Respondent(s): Wachovia Securities, Joseph Klages, Nolan Caldwell, A.G. Edwards & Sons., Wells Fargo Advisors
Respondent Lawyers(s): Will S. Montgomery
Arbitrator(s): Philip I. McConnell, Howard J. Siegel, Ross D. Friend
Hearing Site: Houston, TX
Checkmark Icon$0
09-0259607/12/2010Claimant(s): Tommy Sausley
Claimant Lawyers(s): Tommy N. Sausley
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Thomas D. Cordell
Arbitrator(s): Philip I. McConnell, Mark A. Myers, Michele N. O'Brien
Hearing Site: Houston, TX
08-0325503/31/2010Claimant(s): Frank Sellers, Jay Carpenter
Claimant Lawyers(s): Kent W. Starr
Respondent(s): Stifel, Nicolaus & Co.., Steven Bright
Respondent Lawyers(s): Will S. Montgomery
Arbitrator(s): Maxel (Bud) B. Silverberg, Marie A. Moore, Philip I. McConnell
Hearing Site: Dallas, TX
Checkmark Icon$366,300
06-0428501/21/2010Claimant(s): Gary and Stephanie Barnett
Claimant Lawyers(s): David A. Szwak
Respondent(s): Gregory Garson, Capital Partners LLC, First Allied Securities.
Respondent Lawyers(s): Daniel S. Newman
Arbitrator(s): Philip I. McConnell, Robert G. Clark, Ted Martin Akin
Hearing Site: Dallas, TX
Checkmark Icon$0

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