| 13-02680 | 04/29/2014 | Claimant(s): Robert Burns, Robert E. Burns IRA
Claimant Lawyers(s): Keith L. Griffin
Respondent(s): Geneos Wealth Management.
Respondent Lawyers(s): K. Clark Phipps
Arbitrator(s): Maxel (Bud) B. Silverberg
Hearing Site: Oklahoma City, OK
|  | $300 |
| 11-04373 | 03/31/2014 | Claimant(s): Ronnie Jiles
Claimant Lawyers(s): Jerry L. Colclazier
Respondent(s): James Long, Investment Centers of America.
Respondent Lawyers(s): Timothy J. Bomhoff
Arbitrator(s): G. Maynard Green, Charles W. Adams, Thomas Bentley Baines
Hearing Site: Oklahoma City, OK
| | $571,522 |
| 13-02153 | 03/11/2014 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Jonathan Berg
Respondent(s): Derek Forrest
Respondent Lawyers(s): Derek R. Forrest
Arbitrator(s): C. Sumpter Logan
Hearing Site: Oklahoma City, OK
| | |
| 12-00154 | 01/17/2014 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Richard Marshall
Respondent Lawyers(s): Randall K. Calvert
Arbitrator(s): Kelley L. Cornelius, David William Lopp, Thomas Bentley Baines
Hearing Site: Oklahoma City, OK
| | |
| 12-03396 | 12/23/2013 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): Rodney Watkins
Respondent Lawyers(s): Patrick O. Waddel
Arbitrator(s): G. Maynard Green
Hearing Site: Oklahoma City, OK
| | |
| 13-00407 | 08/09/2013 | Claimant(s): Clarence T. Rohwer 1981 Rev. Trust
Claimant Lawyers(s): Sabrina A. Brown
Respondent(s): Arthur John
Respondent Lawyers(s): Arthur Lancelot John
Arbitrator(s): Charles A. Joplin
Hearing Site: Oklahoma City, OK
| | $0 |
| 12-00177 | 03/06/2013 | Claimant(s): Charles Caughern, IRA FBO Charles D. Caughern
Claimant Lawyers(s): Wayne M. Whitaker
Respondent(s): Lavon Williams
Respondent Lawyers(s): Charles B. Goodwin
Arbitrator(s): Robert Steven Haught, Rowland Denman, G. Maynard Green
Hearing Site: Oklahoma City, OK
| | $0 |
| 12-00746 | 12/19/2012 | Claimant(s): Davis Carson
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Edward Jones
Respondent Lawyers(s): Dennis J. Capriglione
Arbitrator(s): Dennis S. Boxeur, Raymond E. Tompkins, Van R. Oliver
Hearing Site: Oklahoma City, OK
| | Expungement |
| 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
| | |
| 11-03886 | 03/23/2012 | Claimant(s): Robert Courtney
Claimant Lawyers(s): Robert Gary Courtney
Respondent(s): WFG Investments.
Respondent Lawyers(s): Dagny Young
Arbitrator(s): Charles A. Joplin
Hearing Site: Oklahoma City, OK
| | $3,675 |
