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FINRA Awards for Barry D. Estell

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Case Number Award Date Case Summary Customer Case? Amount Granted
10-0578509/29/2011Claimant(s): Orval Beckmon
Claimant Lawyers(s): Barry D. Estell
Respondent(s): TD Ameritrade Clearing., TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): James A. Hayes, Wilburta Ann Willey, John James Rubin
Hearing Site: Wichita, KS
Checkmark Icon$0
10-0290308/04/2011Claimant(s): Kevin Swallow
Claimant Lawyers(s): Barry D. Estell
Respondent(s): Timothy Collins, Clarus Capital Partners, Interactive Brokers LLC
Respondent Lawyers(s): David L. Marcus, John J. Nielands
Arbitrator(s): Michael D. Fitzgerald
Hearing Site: Kansas City, MO
Checkmark Icon$0
06-0501811/01/2007Claimant(s): Est. of D. Cermak, Patricia Prinds, Exe
Claimant Lawyers(s): Barry D. Estell
Respondent(s): Douglas Hemke, First Midamerica Investment Corp.
Respondent Lawyers(s): Jeffrey Jamieson
Arbitrator(s): Keith U. Martin, David A. Nixon, Michael J. Hunter
Hearing Site: Kansas City, MO
Checkmark Icon$230,000

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