| 17-02976 | 12/26/2017 | Claimant(s): Michael A. Sabota
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Craig A. Vollono
Arbitrator(s): C. Sumpter Logan
Hearing Site: Dallas, TX
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| 17-01865 | 12/01/2017 | Claimant(s): Raymond, James & Associates.
Claimant Lawyers(s): Dominique E. Heller
Respondent(s): Brandon Duncan
Respondent Lawyers(s): Brandon Avery Duncan
Arbitrator(s): C. Sumpter Logan
Hearing Site: New Orleans, LA
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| 15-03015 | 01/30/2017 | Claimant(s): Edward Butowsky
Claimant Lawyers(s): Shauna Izadi
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Lesley V. Tepper
Arbitrator(s): Jeff Abrams, C. Sumpter Logan, Larry N. Quinn
Hearing Site: Dallas, TX
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| 16-01391 | 12/19/2016 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s): Jay Davis
Respondent Lawyers(s): Jay Robert Davis
Arbitrator(s): Ronald G. Johnson, C. Sumpter Logan, Edward J. Lynch
Hearing Site: Dallas, TX
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| 13-01494 | 05/13/2016 | Claimant(s): Raymond James Financial Services.
Claimant Lawyers(s): Andrea Morgan Greene
Respondent(s): Brian Anderson, Thomas Pewitt
Respondent Lawyers(s): Richard S. Frankowski
Arbitrator(s): Milton C. West, C. Sumpter Logan, James Edward Seale
Hearing Site: Birmingham, AL
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| 15-03182 | 04/04/2016 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Vanessa Hoffmann
Respondent(s): Wesley Shaw
Respondent Lawyers(s): Wesley Wayne Shaw
Arbitrator(s): C. Sumpter Logan
Hearing Site: Dallas, TX
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| 15-00977 | 09/22/2015 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Alan S. Brodherson
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): C. Sumpter Logan
Hearing Site: Dallas, TX
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| 15-00683 | 08/11/2015 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Steven Satter
Respondent(s): Kenneth Comstock
Respondent Lawyers(s): Kenneth Alan Comstock
Arbitrator(s): C. Sumpter Logan
Hearing Site: Dallas, TX
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| 14-02755 | 05/07/2015 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Jack D. Ballard
Respondent(s): David Palmer
Respondent Lawyers(s): David Palmer
Arbitrator(s): C. Sumpter Logan
Hearing Site: Dallas, TX
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| 14-01728 | 04/02/2015 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Audette P Morales
Respondent(s): John l. Norris Rollover, Vivianne Norris IRA Rollover, John L. Norris and Vivianne Norris JT TE
Respondent Lawyers(s): Thomas F. Shine
Arbitrator(s): Coleman Robert Perry, C. Sumpter Logan, David Freeman
Hearing Site: Birmingham, AL
| | Expungement |
