| 17-03295 | 07/13/2018 | Claimant(s): William Wolfe
Claimant Lawyers(s): Armin Sarabi
Respondent(s): Hilltop Securities Independent Network I
Respondent Lawyers(s): Jonathan D. Neerman
Arbitrator(s): Sherry R. Wetsch
Hearing Site: Oklahoma City, OK
| | |
| 16-02352 | 03/12/2018 | Claimant(s): Christopher Clark
Claimant Lawyers(s): Robert M. Thornton
Respondent(s): BOK Financial Securities., BOSC.
Respondent Lawyers(s): Erica Anne Dorwart
Arbitrator(s): David G. Ritchie, Bill Lamoreaux, Jeff Kilgore
Hearing Site: Oklahoma City, OK
| | |
| 17-01795 | 11/29/2017 | Claimant(s): Marguerite Laws
Claimant Lawyers(s): Marguerite R. Laws
Respondent(s): Scottrade Inc.
Respondent Lawyers(s): Ryan T. Barke
Arbitrator(s): Donna Ross Philip
Hearing Site: Oklahoma City, OK
|  | $838 |
| 14-02788 | 09/08/2017 | Claimant(s): Liphard D'Souza, Sabrina D'Souza
Claimant Lawyers(s): Chad M. Neuens
Respondent(s): First Independent Financial Services Inc
Respondent Lawyers(s): Gary S. Kessler
Arbitrator(s): Kelley L. Cornelius, Philip I. McConnell, Van R. Oliver
Hearing Site: Oklahoma City, OK
| | $94,852 |
| 16-02029 | 05/22/2017 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Jack D. Ballard
Respondent(s): Robyn Fain
Respondent Lawyers(s): Joshua F. Bugos
Arbitrator(s): Theron L. Vanlandingham, Allan R. Lazor, Brian James Tagtmeier
Hearing Site: Oklahoma City, OK
| | |
| 14-01592 | 07/12/2016 | Claimant(s): Michael Inderlied, Timothy Payne
Claimant Lawyers(s): Matthew D. Turner
Respondent(s): Aaron Budd, Aaron Wilbanks, Jerome Alexander, Steven Sharpe, Associated Diversified Brokerage., Wilbanks Securities.
Respondent Lawyers(s): Corporate Office, Jerome Alexander, John M. Gibson
Arbitrator(s): Byron D. Parker, Lawrence R. Maxwell, Peter T. Van Dyke
Hearing Site: Oklahoma City, OK
| | |
| 14-00777 | 08/17/2015 | Claimant(s): Danny Brumble, Paula Brumble
Claimant Lawyers(s): Robert J. Carlson
Respondent(s): David Lyles, Merrill Lynch Pierce Fenner & Smith Inc., William Mulder
Respondent Lawyers(s): Janet K. DeCosta, Ronald D. Smith
Arbitrator(s): Phil E. Macy, Robert Steven Haught, Lawrence Franklin McAtee
Hearing Site: Oklahoma City, OK
| | Expungement |
| 13-02854 | 06/15/2015 | Claimant(s): James Thomas, Laurel Thomas
Claimant Lawyers(s): Matthew H. Griffith
Respondent(s): Bruce Smith, Ameriprise Financial Services.
Respondent Lawyers(s): Howard Klausmeier
Arbitrator(s): Robert Steven Haught, David A. Laughlin, John R. Storm
Hearing Site: Oklahoma City, OK
| | $0 |
| 13-03324 | 12/19/2014 | Claimant(s): James Rowe
Claimant Lawyers(s): James M. Chaney
Respondent(s): Michael Heaton, Paul Raisig, Robert Savage, Leonard Securities, Raisig & Connolly
Respondent Lawyers(s): Joe M. Hampton, Paul Arthur Raisig
Arbitrator(s): Jan Preece Gaddis, Philip I. McConnell, Rowland Denman
Hearing Site: Oklahoma City, OK
| | $200,000 |
| 14-00107 | 06/20/2014 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): John Cox
Respondent Lawyers(s): John Cox
Arbitrator(s): Mark A. Myers
Hearing Site: Oklahoma City, OK
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