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FINRA Awards for Mark Hepworth

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Case Number Award Date Case Summary Customer Case? Amount Granted
14-0256602/23/2016Claimant(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
11-0460109/05/2014Claimant(s): Estate of Roberta A. Hott
Claimant Lawyers(s): Bobby M. Rubarts
Respondent(s): Southwest Securities., Mark Hepworth, S&P Investors.
Respondent Lawyers(s): Andrew T. Hepworth, John T. Gerhart
Arbitrator(s): Robert L. Yeager, Jay M. Vogelson, Kerry Wallace Bowman
Hearing Site: Dallas, TX
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