| 17-00711 | 01/26/2018 | Claimant(s): Morgan Stanley, Morgan Stanley FA Note Holding LLC
Claimant Lawyers(s): Bruce W. Bowman
Respondent(s): Scott Hartman
Respondent Lawyers(s): Scott William Hartman
Arbitrator(s): C. Sumpter Logan
Hearing Site: Dallas, TX
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| 17-03119 | 01/05/2018 | Claimant(s): Michael C. Seamands
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Craig Vollono
Arbitrator(s): Eric Ross Cromartie
Hearing Site: Dallas, TX
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| 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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| 17-02165 | 12/15/2017 | Claimant(s): Monda Hanna
Claimant Lawyers(s): David I. Hantman
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Ralph Izzo
Arbitrator(s): David A. Schuler
Hearing Site: Dallas, TX
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| 17-01378 | 11/14/2017 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Robert Christie
Respondent(s): Matthew Bailey
Respondent Lawyers(s): Matthew Wayne Bailey
Arbitrator(s): Jeff Abrams
Hearing Site: Dallas, TX
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| 16-02667 | 10/13/2017 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s): Sandra Hudgins
Respondent Lawyers(s): Sandra Joseph Hudgins
Arbitrator(s): David A. Schuler, Joseph Neal Richardson, Leon Hilary Horne
Hearing Site: Dallas, TX
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| 16-01948 | 09/20/2017 | Claimant(s): UBS Financial Services Inc., UBS Credit Corp.
Claimant Lawyers(s): Michael T. Roche
Respondent(s): Carlos Rodriguez
Respondent Lawyers(s): Carlos A. Rodriguez
Arbitrator(s): Edward J. Lynch
Hearing Site: Dallas, TX
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| 14-03467 | 07/14/2017 | Claimant(s): Raymond, James & Associates.
Claimant Lawyers(s): Jordan D. Maglich
Respondent(s): Brent Yarbrough, Morgan Keegan & Company
Respondent Lawyers(s): Jordan D. Maglich, Michael G. Brown
Arbitrator(s): Arthur H. Geffen, Ann Blaess Kimball, William Cavalier
Hearing Site: Dallas, TX
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| 16-02472 | 07/11/2017 | Claimant(s): Morgan Stanley, MSSB FA Notes Holdings
Claimant Lawyers(s): Matthew B. Henneman
Respondent(s): Daniel Gunderson
Respondent Lawyers(s): Daniel J. Gunderson
Arbitrator(s): Arthur L. Tepper
Hearing Site: Dallas, TX
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| 16-02331 | 06/27/2017 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Donald R. Littlefield
Respondent(s): Benjamin Bowden
Respondent Lawyers(s): Benjamin J. Bowden
Arbitrator(s): Mary Elizabeth Skelnik
Hearing Site: Dallas, TX
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