| 12-04293 | 07/01/2013 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Diane C. Fischer
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Maryanne M. Esser
Hearing Site: Dallas, TX
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| 12-04173 | 06/24/2013 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Ernest W. Irons
Respondent(s): Thomas Decker
Respondent Lawyers(s): Kevin M. Roche
Arbitrator(s): Philip I. McConnell
Hearing Site: Dallas, TX
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| 13-00557 | 06/20/2013 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Audrey Hendricks
Respondent(s): Justin Fawcett
Respondent Lawyers(s): Justin Fawcett
Arbitrator(s): Arthur H. Geffen
Hearing Site: Dallas, TX
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| 11-02651 | 06/19/2013 | Claimant(s): Southwest Securities.
Claimant Lawyers(s): Richard D. Pullman
Respondent(s): Bruce Lewin
Respondent Lawyers(s): Bruce Lewin
Arbitrator(s): Donald Vincent Enright, G. Maynard Green, C. Sumpter Logan
Hearing Site: Dallas, TX
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| 12-03101 | 06/03/2013 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Beverly Jo Slaughter
Respondent(s): Robert Davis
Respondent Lawyers(s): Marc J. Fratter
Arbitrator(s): Edward J. Lynch
Hearing Site: Dallas, TX
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| 12-02187 | 05/23/2013 | Claimant(s): Joseph D'Amico
Claimant Lawyers(s): Emily M. Stout
Respondent(s): Cantor Fitzgerald & Co.
Respondent Lawyers(s): A. John Harper
Arbitrator(s): Mark L. Williams, Maryanne M. Esser, Richard A Miller
Hearing Site: Dallas, TX
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| 12-02506 | 04/19/2013 | Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): Matthew Burcar
Respondent Lawyers(s): Matthew Scott Burcar
Arbitrator(s): Jeff Abrams
Hearing Site: Dallas, TX
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| 10-04622 | 04/17/2013 | Claimant(s): Lehman Brothers Holdings Inc.
Claimant Lawyers(s): Neil A. Sussman
Respondent(s): Jason Taylor
Respondent Lawyers(s): Anthony Paduano
Arbitrator(s): Jeff Abrams, Martha Z. Ralstin, David J. Nowacki
Hearing Site: Dallas, TX
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| 12-03291 | 04/01/2013 | Claimant(s): Sanders Morris Harris Inc.
Claimant Lawyers(s): Rose Romero
Respondent(s): Jimmy Day, John Gilbert
Respondent Lawyers(s): H. David Flowers, Mack E. Swindle
Arbitrator(s): Simeon R. Trotter, Melinda G. Jayson, Edward Bradbury Cloutman
Hearing Site: Dallas, TX
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| 11-01615 | 03/01/2013 | Claimant(s): Raymond, James & Associates.
Claimant Lawyers(s): William Schmitt
Respondent(s): Marc Prda
Respondent Lawyers(s): J. Randle Henderson
Arbitrator(s): R. Theodore Moock, William E. Hartsfield, Melinda G. Jayson
Hearing Site: Dallas, TX
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