| 08-00956 | 04/13/2009 | Claimant(s): Elyse Masterson, Robert Masterson, Masterson Family, Blake Dillion Masterson, CUS, James Brody Masterson
Claimant Lawyers(s): Randall K. Calvert
Respondent(s): Azmi "Andy" Fakhoury, Wachovia Securities
Respondent Lawyers(s): James C. Browning
Arbitrator(s): Donald M. Lehman, Preston A. Trimble, Jan Preece Gaddis
Hearing Site: Oklahoma City, OK
|  | $89,338 |
| 07-02338 | 04/06/2009 | Claimant(s): Carl Busch
Claimant Lawyers(s): Joan A. Renegar
Respondent(s): Southwest Securities.
Respondent Lawyers(s): Brian J. Hurst
Arbitrator(s): Michael R. Prescott, Kelley L. Cornelius, Carroll O. Johnson
Hearing Site: Oklahoma City, OK
| | |
| 07-02365 | 04/06/2009 | Claimant(s): Southwest Securities.
Claimant Lawyers(s): Brian J. Hurst
Respondent(s): Carl Busch
Respondent Lawyers(s): Carl W. Busch
Arbitrator(s):
Hearing Site: Oklahoma City, OK
| | |
| 08-01240 | 03/13/2009 | Claimant(s): Delta A. Harrison Trust, Eugene L. Harrison Trust
Claimant Lawyers(s): Brian J. Rayment
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Randi Perry Spallina
Arbitrator(s): Steven J. Balaban, Carroll O. Johnson, Helmut O. Wolff
Hearing Site: Oklahoma City, OK
| | $0 |
| 06-04283 | 10/30/2008 | Claimant(s): Joseph Kernke, Blanche I. Kernke Amend R & R Trust, Joseph C. Kernke Sr. Family Trust, Kenneth V. Kernke Amend. Trust
Claimant Lawyers(s): Jerry L. Colclazier, Joseph Long
Respondent(s): Jeffrey Kernke
Respondent Lawyers(s): Joseph H. Bocock
Arbitrator(s): Steven J. Balaban, Jan Preece Gaddis, Vicki J. Limas
Hearing Site: Oklahoma City, OK
| | $23,500 |
| 07-01782 | 07/10/2008 | Claimant(s): Harold Burdette
Claimant Lawyers(s): Rodney J. Heggy
Respondent(s): Invest Financial Corporation, BancWest Investment Services., Putnam Retail Management Limited Part
Respondent Lawyers(s): Andrew J. Hachey, Ross A. Anderson
Arbitrator(s): Theron L. Vanlandingham, Cleve W. Powell, David A. Laughlin
Hearing Site: Oklahoma City, OK
| | $0 |
| 07-02670 | 07/02/2008 | Claimant(s): Dionna Barker, IRA FBO Dionna Barker, Dionna L. Barker U/A Trust DTD 10/8/1998
Claimant Lawyers(s): Robert N. Sheets
Respondent(s): Paige Harris, Bosc.
Respondent Lawyers(s): Paul DeMuro
Arbitrator(s): Leslie L. Conner, Margaret C. Kerr, Jonathan Barry Forman
Hearing Site: Oklahoma City, OK
| | Stipulated Award and Expungement |
| 07-01052 | 06/18/2008 | Claimant(s): Robert L. Parker & Catherine M. Parker
Claimant Lawyers(s): Phyllis A. Norman
Respondent(s): Charles Bigbie
Respondent Lawyers(s): K. Clark Phipps
Arbitrator(s): Leslie L. Conner, Van R. Oliver, John R. Storm
Hearing Site: Oklahoma City, OK
| | $0 |
| 07-00979 | 05/30/2008 | Claimant(s): Benjamin Abney
Claimant Lawyers(s): Ira L. Edwards
Respondent(s): Sanders Morris Harris Inc.
Respondent Lawyers(s): Andrew R. Harvin
Arbitrator(s): Edwin E O'Brien, Van R. Oliver, Mary Day Smelser
Hearing Site: Oklahoma City, OK
| | $0 |
| 07-01730 | 05/15/2008 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Greg Burden
Respondent Lawyers(s): John E. Barbush
Arbitrator(s): Michael R. Prescott, Gary S. Jefferson, Michael E. Nelson
Hearing Site: Oklahoma City, OK
| | |
