| 09-02108 | 10/07/2010 | Claimant(s): Lyn Ashlock
Claimant Lawyers(s): Michael C. Woodward
Respondent(s): Amy Cady, Arvest Asset Management
Respondent Lawyers(s): James R. Polan
Arbitrator(s): Ann Blaess Kimball
Hearing Site: Oklahoma City, OK
|  | Stipulated Award and Expungement |
| 09-05756 | 10/05/2010 | Claimant(s): Charlene Haddock
Claimant Lawyers(s): Jeffrey E. Taylor
Respondent(s): Wachovia Securities, Stacey Haddock, Prudential Securities.
Respondent Lawyers(s): Stacey Haddock, Stephanie Collett Sparks
Arbitrator(s): Robert Steven Haught
Hearing Site: Oklahoma City, OK
| | $160,680 |
| 09-02592 | 09/01/2010 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Erin E. Mc Avoy
Respondent(s): Brent Bishop
Respondent Lawyers(s): Brent R. Bishop
Arbitrator(s): Carleton E. Blankenburg
Hearing Site: Oklahoma City, OK
| | |
| 09-04167 | 06/29/2010 | Claimant(s): Michael Tepper Revocable Trust
Claimant Lawyers(s): P. David Newsome
Respondent(s): Capital West Securities.
Respondent Lawyers(s): Joe M. Hampton
Arbitrator(s): Van R. Oliver
Hearing Site: Oklahoma City, OK
| | $21,442 |
| 09-00360 | 04/28/2010 | Claimant(s): Harold Johnson and Mary Johnson, JTW ROS
Claimant Lawyers(s): Terry D. Kordeliski
Respondent(s): A.G. Edwards & Sons., Thomas Avant
Respondent Lawyers(s): Timothy J. Bomhoff
Arbitrator(s): Robert D. Garrett, Rowland Denman, John Burke Garrett
Hearing Site: Oklahoma City, OK
| | Improvement on Annuity Benefit was granted |
| 08-03866 | 04/09/2010 | Claimant(s): Bruce Means
Claimant Lawyers(s): Adam J. Gana
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Nancy H. Baughan
Arbitrator(s): Preston A. Trimble, Jan Preece Gaddis, David G. Ritchie
Hearing Site: Oklahoma City, OK
| | $0 |
| 08-05005 | 03/17/2010 | Claimant(s): Fagan Miller
Claimant Lawyers(s): Randall K. Calvert
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): Jan Preece Gaddis, Robert Steven Haught, David A. Laughlin
Hearing Site: Oklahoma City, OK
| | $14,377 |
| 06-04728 | 01/27/2010 | Claimant(s): Travelers Casualty and Surety Company, Wilbanks Securities.
Claimant Lawyers(s): Andrew J. Waldron, Bruce W. Day
Respondent(s): AXA Advisors
Respondent Lawyers(s): Thomas R. Cox
Arbitrator(s): David G. Ritchie, Robert Steven Haught, Richard L. Andeel
Hearing Site: Oklahoma City, OK
| | |
| 08-02325 | 10/22/2009 | Claimant(s): Pamela Whitney
Claimant Lawyers(s): Steven M. Harris
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Estate of Mary Whitney, Estate of Suzanne Whitney
Respondent Lawyers(s): Steven M. Harris, Tara A. LaClair
Arbitrator(s): Robert D. Garrett, Billy H. Ware, G. Maynard Green
Hearing Site: Oklahoma City, OK
| | $0 |
| 08-02880 | 10/08/2009 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Steven Becker
Respondent Lawyers(s): William L. Hickman
Arbitrator(s): Michael E. Nelson, Charles H. Lewis, Glenn E. Johnson
Hearing Site: Oklahoma City, OK
| | |
