| 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
| | |
| 15-00347 | 03/21/2016 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Brian Hormozi
Respondent(s): Michael Martin
Respondent Lawyers(s): Michael Martin
Arbitrator(s): Patricia B. Lehtola
Hearing Site: Dallas, TX
| | |
| 13-02927 | 03/08/2016 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Matthew B. Henneman
Respondent(s): Richard Hill
Respondent Lawyers(s): Richard Wayne Hill
Arbitrator(s): Arthur H. Geffen, Mark A. Myers, Edward J. Lynch
Hearing Site: Dallas, TX
| | |
| 14-02566 | 02/23/2016 | Claimant(s): Edward Andrew, Mark Hepworth
Claimant Lawyers(s): Kim Thorne, Scott A. Stewart
Respondent(s): Southwest Securities.
Respondent Lawyers(s): John T. Gerhart
Arbitrator(s): Daniel C. Dooley, Henry J. Ackels, Joseph Neal Richardson
Hearing Site: Dallas, TX
| | |
| 15-00029 | 12/24/2015 | Claimant(s): Jason Taylor
Claimant Lawyers(s): Willard Knox
Respondent(s): Barclays Capital Inc.
Respondent Lawyers(s): Donald R. Littlefield
Arbitrator(s): Harry J Saginaw
Hearing Site: Dallas, TX
| | |
| 15-01458 | 12/23/2015 | Claimant(s): John Kever
Claimant Lawyers(s): Susan A. Logsdon
Respondent(s): Bailey Bryan
Respondent Lawyers(s): Bailey Bryan
Arbitrator(s): G. Maynard Green, Larry N. Quinn, Gerald Ray Waterston
Hearing Site: Dallas, TX
| | Expungement |
| 14-00644 | 12/22/2015 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Brian S. Hormozi
Respondent(s): Scott Mills
Respondent Lawyers(s): Scott M. Garelick
Arbitrator(s): Philip I. McConnell, Richard C. Corse, G. Maynard Green
Hearing Site: Dallas, TX
| | |
| 15-01985 | 12/17/2015 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Scott A. La Porta
Respondent(s): Larry Boggs
Respondent Lawyers(s): Larry M. Boggs
Arbitrator(s): Jeff Abrams
Hearing Site: Dallas, TX
| | |
| 15-01267 | 11/23/2015 | Claimant(s): Wunderlich Securities.
Claimant Lawyers(s): Mark D. Griffin
Respondent(s): April Morris-Spicer
Respondent Lawyers(s): April C. Morris-Spicer
Arbitrator(s): Charles A. Joplin
Hearing Site: Dallas, TX
| | |
| 14-03595 | 11/11/2015 | Claimant(s): Brian Schmidt
Claimant Lawyers(s): Brittany Weiner
Respondent(s): Fidelity Brokerage Services LLC, Strategic Advisers.
Respondent Lawyers(s): John Starnes
Arbitrator(s): Lawrence R. Maxwell
Hearing Site: Dallas, TX
| | |
