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FINRA Awards for Carroll O. Johnson

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Case Number Award Date Case Summary Customer Case? Amount Granted
10-0017809/23/2011Claimant(s): John Phillips
Claimant Lawyers(s): Daniel Woska
Respondent(s): Daniel Witham, Uvest Financial Services Group.
Respondent Lawyers(s): Sara B. Davis
Arbitrator(s): Carroll O. Johnson, Bill H. Brister, John Burke Garrett
Hearing Site: Oklahoma City, OK
06-0165603/28/2008Claimant(s): Brenna Lynn Michaels, Cust. Acct., Kevin J. Moody, Cus. Acct, Kyle Moody, Kevin J. Moody & Richard Moody, Ryan Moody and Richard Moody, Richard J. Moody Revocable Living Tr., Richard J. Moody, Rev.Liv.Tr.
Claimant Lawyers(s): A. Daniel Woska
Respondent(s): Prudential Equity Group
Respondent Lawyers(s): Retta A. Miller
Arbitrator(s): Edwin E O'Brien, Carroll O. Johnson, Mary Day Smelser
Hearing Site: Oklahoma City, OK
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