| 10-02924 | 03/13/2012 | Claimant(s): John Burch
Claimant Lawyers(s): Sheldon B. Swan
Respondent(s): Cathy Lombard-Conner, Lombard-Smith Investments., Sws Financial Services
Respondent Lawyers(s): Meghan E. George
Arbitrator(s): Michael R. Prescott, Robert L. Yeager, Thomas Bentley Baines
Hearing Site: Oklahoma City, OK
|  | $0 |
| 11-02607 | 03/08/2012 | Claimant(s): Roth IRA fbo Judy L. O'Briien, SEP IRA fbo Thomas O'Brien
Claimant Lawyers(s): Randall K. Calvert
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jennifer L. Carpenter
Arbitrator(s): Harry J Saginaw
Hearing Site: Oklahoma City, OK
| | $5,575 |
| 11-00699 | 01/11/2012 | Claimant(s): Arlene Halley
Claimant Lawyers(s): Randall K. Calvert
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Martha F. McDugald
Arbitrator(s): Vicki J. Limas, Pamela M. Roach, Charles W. Adams
Hearing Site: Oklahoma City, OK
| | Stipulated Award and Expungement |
| 10-03414 | 10/31/2011 | Claimant(s): Jack McClure, Phyllis McClure, Jack McClure Jr., Individual Retirement, Phyllis D. McClure IRA
Claimant Lawyers(s): Kurtis J. Ward
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Timothy B. Atkins
Arbitrator(s): Jan Preece Gaddis, Wilburta Ann Willey, Vicki J. Limas
Hearing Site: Oklahoma City, OK
| | $57,335 |
| 10-00178 | 09/23/2011 | Claimant(s): John Phillips
Claimant Lawyers(s): Daniel Woska
Respondent(s): Daniel Witham, Uvest Financial Services Group.
Respondent Lawyers(s): Sara B. Davis
Arbitrator(s): Carroll O. Johnson, Bill H. Brister, John Burke Garrett
Hearing Site: Oklahoma City, OK
| | |
| 05-00698 | 09/02/2011 | Claimant(s): John Vance, Kent Blair, Lenard Briscoe, Richard Reynolds, Ronald Clough, Steve Sanders, Blair Minerals Ltd., Crandall & Sanders., Craig and Rae Blair, Tim and Cheri Blair, Richard Reynolds Living Trust
Claimant Lawyers(s): Joseph H. Bocock, Mark K. Stonecipher
Respondent(s): Marsha Schubert
Respondent Lawyers(s): Marsha K. Schubert
Arbitrator(s): Jan Preece Gaddis, Cleve W. Powell, David Keith Lesher
Hearing Site: Oklahoma City, OK
| | $867,000 |
| 08-01969 | 05/25/2011 | Claimant(s): Shirley Enlow, Ron L. Enlow Trust
Claimant Lawyers(s): Terry J. Garrett
Respondent(s): Charles Campbell, Wilbanks Securities.
Respondent Lawyers(s): Theodore C. Peters
Arbitrator(s): Phil E. Macy, Richard L. Andeel, Glenn E. Johnson
Hearing Site: Oklahoma City, OK
| | $0 |
| 10-04165 | 03/31/2011 | Claimant(s): Georgann Bradford, IRA, Peter B. Bradford and Georgann Bradford
Claimant Lawyers(s): Peter B. Bradford
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Sean B. Meehan
Arbitrator(s): Melinda G. Jayson
Hearing Site: Oklahoma City, OK
| | $0 |
| 09-02593 | 03/08/2011 | Claimant(s): The Estate of Lawanda Padgett
Claimant Lawyers(s): Kurtis J. Ward
Respondent(s): Capital West Securities.
Respondent Lawyers(s): Joe M. Hampton
Arbitrator(s): Bill H. Brister
Hearing Site: Oklahoma City, OK
| | $0 |
| 10-00247 | 11/12/2010 | Claimant(s): Garland Horn
Claimant Lawyers(s): John J. Miller
Respondent(s): Dayspring Investment Group
Respondent Lawyers(s): Gary Haney
Arbitrator(s): Daniel A. Kile
Hearing Site: Oklahoma City, OK
| | $63,033 |
