19-03494 | 05/21/2021 | Claimant(s): Mahes Prasad Claimant Lawyers(s): Alan Baskin Respondent(s): Wells Fargo Clearing Services Respondent Lawyers(s): Retta A. Miller Arbitrator(s): Barbara M. Zak Hearing Site: Phoenix, AZ
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19-02219 | 12/19/2019 | Claimant(s): Wells Fargo Clearing Services Claimant Lawyers(s): Retta A. Miller Respondent(s): Vernon Sears Respondent Lawyers(s): Vernon David Sears Arbitrator(s): Christine L. Stetson Hearing Site: Houston, TX
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19-01643 | 10/30/2019 | Claimant(s): Wells Fargo Clearing Services Claimant Lawyers(s): Retta A. Miller Respondent(s): Virgil Richmond Respondent Lawyers(s): Virgil D. Richmond Arbitrator(s): James A. Parker Hearing Site: Houston, TX
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09-02191 | 03/28/2012 | Claimant(s): Wachovia Securities Claimant Lawyers(s): Retta A. Miller Respondent(s): Stifel, Nicolaus & Co.. Respondent Lawyers(s): Joseph A. Dougherty Arbitrator(s): Jan Preece Gaddis, Billy H. Ware, Charles W. Adams Hearing Site: Oklahoma City, OK
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10-05712 | 03/06/2012 | Claimant(s): Jack Laskey, Helen D. Laskey I.R.A., Jack R. Laskey I.R.A. Claimant Lawyers(s): Mark C. Watler Respondent(s): RBC Capital Markets LLC Respondent Lawyers(s): Retta A. Miller Arbitrator(s): Ronald R. Simpson, Robert Dan Sherrill, Daniel J. Pagnano Hearing Site: Houston, TX
| | $300 |
11-02350 | 01/10/2012 | Claimant(s): SWBC Investment Services Claimant Lawyers(s): Retta A. Miller Respondent(s): Greg Thompson, Titleist Asset Management, Ltd. Respondent Lawyers(s): Royal B. Lea Arbitrator(s): Linda Broocks, Arno C. Schwethelm, Lynne M. Gomez Hearing Site: Houston, TX
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07-01716 | 11/12/2010 | Claimant(s): Bill Allen, Chester Goff, Clyde Moseley, James Franovich, James Gully, Jimmie Gammage, Jimmy Schafer, John Rogers, Larry Hammonds, Raymon Beckham, Reed Bond, Richard Bosarge, Wilson Miller Claimant Lawyers(s): Mack A. Bethea Respondent(s): Wachovia Securities, Prudential Equity Group Respondent Lawyers(s): Retta A. Miller Arbitrator(s): George A. Sawyer, Mark A. Myers, Cynthia Lee Traina Hearing Site: Jackson, MS
| | $2,079,300 |
07-01704 | 10/26/2010 | Claimant(s): Andrew Elly, James Snow, Rayford Dunnam Claimant Lawyers(s): Mack A. Bethea Respondent(s): Prudential Equity Group, William Brownell Respondent Lawyers(s): Retta A. Miller Arbitrator(s): Kendall P. Hill, Mark A. Myers, Robert Thomas Killelea Hearing Site: Jackson, MS
| | $656,000 |
08-01204 | 06/04/2009 | Claimant(s): Brian McDonald Claimant Lawyers(s): Retta A. Miller Respondent(s): Robyn Reagan, Regal Securities Inc. Respondent Lawyers(s): Nicholas P. Iavarone, Steven J. Berry Arbitrator(s): Maxel (Bud) B. Silverberg, George F. Longino, Leighton Aiken Hearing Site: Dallas, TX
| | $172,864 |
06-01656 | 03/28/2008 | Claimant(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
| | $0 |