| 14-01232 | 02/06/2015 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Beverly Jo Slaughter
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): G. Maynard Green
Hearing Site: Dallas, TX
| | |
| 13-02311 | 12/16/2014 | Claimant(s): Mel Schonhorst
Claimant Lawyers(s): Robert M. Thornton
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Jonathan J. Hegre
Arbitrator(s): Louis J. Weber
Hearing Site: Dallas, TX
| | |
| 14-02055 | 12/08/2014 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Todd Ratner
Respondent(s): Michael Vallee
Respondent Lawyers(s): Michael V. Valllee
Arbitrator(s): Robert L. Yeager
Hearing Site: Dallas, TX
| | |
| 12-03916 | 11/14/2014 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Karen P. Gaster
Respondent(s): Terrance Wilkerson
Respondent Lawyers(s): Kevin S. Wiley, Jr.
Arbitrator(s): James M. Tipton, Todd R. Gough, William A. Fynes
Hearing Site: Dallas, TX
| | |
| 13-03021 | 09/23/2014 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Jonathan Berg
Respondent(s): Karla Bounds
Respondent Lawyers(s): Karla Renee Bounds
Arbitrator(s): Bill M. Lamoreaux
Hearing Site: Dallas, TX
| | |
| 13-02451 | 09/22/2014 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael Braun
Respondent(s): David Chun
Respondent Lawyers(s): David W. Chun
Arbitrator(s): Jeff Abrams
Hearing Site: Dallas, TX
| | |
| 13-02027 | 08/21/2014 | Claimant(s): Kari Taylor
Claimant Lawyers(s): Kari Taylor
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): John Starnes
Arbitrator(s): Diane Muse, Phillip Lee Scheldt, Daniel A. Kile
Hearing Site: Dallas, TX
| | |
| 14-00146 | 06/10/2014 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Christopher Griesmeyer
Respondent(s): Brandon Cortez
Respondent Lawyers(s): Brandon Matthew Cortez
Arbitrator(s): Edward J. Lynch
Hearing Site: Dallas, TX
| | |
| 12-01202 | 06/04/2014 | Claimant(s): Patricia Costello, Richard Costello, Traci Costello, The Estate of Mary Pooley, Patricia Costello IRA, Richard Costello IRA
Claimant Lawyers(s): Samuel B. Edwards
Respondent(s): WFG Investments.
Respondent Lawyers(s): Stefan R. Dandelles
Arbitrator(s): Roland D. Freeman, Andrea U. Calve, Franklin Lewis Broyles
Hearing Site: Dallas, TX
| | |
| 13-01277 | 05/07/2014 | Claimant(s): Timothy Weber
Claimant Lawyers(s): Robert M. Thornton
Respondent(s): Goldman, Sachs and Company, The Goldman Sachs Group.
Respondent Lawyers(s): Robin D. Fessel
Arbitrator(s): Thomas M. Campbell, Lawrence R. Maxwell, Jay M. Vogelson
Hearing Site: Dallas, TX
| | |
