| 11-02946 | 09/11/2012 | Claimant(s): Peggy Jones
Claimant Lawyers(s): Ronnie L. Agnew
Respondent(s): Southwest Securities., SWS Financial Services.
Respondent Lawyers(s): Richard A. Illmer
Arbitrator(s): Ann Blaess Kimball, Andrea U. Calve, Melvin H. Wolovits
Hearing Site: Dallas, TX
|  | $15,000 |
| 09-04480 | 11/22/2011 | Claimant(s): Jamie Blumenthal, Nancy Blumenthal
Claimant Lawyers(s): Bryan T. Forman
Respondent(s): Brian Wahlfeld, Don Torrillo, Gordon Hing, Emmett A Larkin Company.
Respondent Lawyers(s): David J. Feingold, Joseph Keenan, Nicholas S. Cerni
Arbitrator(s): Ann Blaess Kimball, Richard C. Corse, Jeanne Crandall
Hearing Site: Dallas, TX
| | Expungement |
| 09-03976 | 06/24/2011 | Claimant(s): First Command Bank, First Command Financial Planning., First Command Financial Services.
Claimant Lawyers(s): Jeremy L. Harmon
Respondent(s): Kenneth Davey
Respondent Lawyers(s): Branden W. Sparks
Arbitrator(s): Ann Blaess Kimball, Russell H Hairston, Larry N. Quinn
Hearing Site: Dallas, TX
| | |
| 09-00450 | 04/14/2011 | Claimant(s): William Doran
Claimant Lawyers(s): Mark H. How
Respondent(s): J. Miller, RBC Capital Markets LLC
Respondent Lawyers(s): Janiece M. Longoria
Arbitrator(s): Ann Blaess Kimball, G. Maynard Green, Robert E. Treadaway
Hearing Site: Dallas, TX
| | $0 |
| 09-02108 | 10/07/2010 | Claimant(s): Lyn Ashlock
Claimant Lawyers(s): Michael C. Woodward
Respondent(s): Amy Cady, Arvest Asset Management
Respondent Lawyers(s): James R. Polan
Arbitrator(s): Ann Blaess Kimball
Hearing Site: Oklahoma City, OK
| | Stipulated Award and Expungement |
