| 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
| | |
| 12-02576 | 12/02/2013 | Claimant(s): RBC Capital Markets LLC
Claimant Lawyers(s): Mark L. Johansen
Respondent(s): Kelly Rigas
Respondent Lawyers(s): R. Rogge Dunn
Arbitrator(s): Keith L. Saunders, Edward J. Lynch, Joseph Neal Richardson
Hearing Site: Dallas, TX
| | |
| 12-03229 | 10/07/2013 | Claimant(s): Noel Brown
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): James Bell, James Clark, Worth Financial Group Inc.
Respondent Lawyers(s): James W. Clark, James Wiley Bell
Arbitrator(s): Arthur H. Geffen, Joann Peters, Joseph Neal Richardson
Hearing Site: Dallas, TX
|  | $30,435 |
| 12-02434 | 07/12/2013 | Claimant(s): Elizabeth Gandy, Steven Burrus
Claimant Lawyers(s): Bryan D. Perkins
Respondent(s): USAA Federal Savings Bank, USAA Investment Management Company
Respondent Lawyers(s): Theodore Schultz
Arbitrator(s): Robert J. Gregory, Dineo Coleman Gary, Joseph Neal Richardson
Hearing Site: Dallas, TX
| | $0 |
