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Q: NASD arbitration rulings from recent cases ( No Answer,   0 Comments )
Question  
Subject: NASD arbitration rulings from recent cases
Category: Business and Money > Finance
Asked by: bugleann03-ga
List Price: $30.00
Posted: 02 Feb 2004 08:06 PST
Expires: 03 Mar 2004 08:06 PST
Question ID: 302768
What are the results of a recent arbitration proceding between Barbara Benoit
and A.G. Edwards ?    The person being sued was Rick Moore and A.G. Edwards.
The case was finished about 2-3 weeks ago.    Rick Moore left the
employment of A.G. Edwards 1 1/2 years ago and now works at LPL
Financial Services.

Request for Question Clarification by pafalafa-ga on 02 Feb 2004 12:48 PST
Hello,

I've had a look at the recent decisions from January and December, but
nothing's showing up under the names you provided.  You wouldn't
happen to know the Docket # by any chance, would you...?

If you have any additional information about parties to the
proceedings, please provide it ... it will assist in searching for the
case.

Thanks.

Clarification of Question by bugleann03-ga on 03 Feb 2004 06:17 PST
I do not have the docket number.    I know that the case was heard in
Houston , Texas in January of 2004 and I do know that it is in the
public record.   I just do not know how to access the information. 
Again it was Barbara Benoit vs. Rick Moore and A.G. Edwards.    An
A.G. Edwards attorney tried the case before the arbitration panel.

Request for Question Clarification by pafalafa-ga on 03 Feb 2004 13:11 PST
I found some records on Mr. Moore, but nothing on this particular
case.  Perhaps another researcher will be able to uncover something
more.
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