| 10-00274 | 11/08/2011 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Mary Jo Cantu
Respondent(s): Allen Isenberg
Respondent Lawyers(s): Allen R. Isenberg
Arbitrator(s): Mark A. Myers
Hearing Site: Dallas, TX
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| 11-01228 | 10/05/2011 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Bruce Lanahan
Respondent Lawyers(s): Bruce G. Lanahan
Arbitrator(s): Charles A. Joplin
Hearing Site: Dallas, TX
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| 11-00203 | 09/12/2011 | Claimant(s): Isidore Kaplan
Claimant Lawyers(s): Robert L. Yeager
Respondent(s): Capital Securities Of America., Wunderlich Securities.
Respondent Lawyers(s): Mark D. Griffin
Arbitrator(s): Michael E. Rohde
Hearing Site: Dallas, TX
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| 11-01231 | 08/05/2011 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Jeffrey F. Manzella
Respondent(s): Lawrence Krogsdale
Respondent Lawyers(s): Lawrence Alfred Krogsdale
Arbitrator(s): G. Maynard Green
Hearing Site: Dallas, TX
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| 10-01340 | 08/01/2011 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc., Merrill Lynch International Finance Inc
Claimant Lawyers(s): Jason K. Roberts
Respondent(s): John Bauer
Respondent Lawyers(s): John T. Bauer
Arbitrator(s): Thomas J. Ray
Hearing Site: Dallas, TX
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| 09-00906 | 07/25/2011 | Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Steven Williams
Respondent Lawyers(s): Leonard J. Meyer
Arbitrator(s): William Cavalier, Henry Hermann, Patricia J. Branco
Hearing Site: Dallas, TX
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| 10-01983 | 07/15/2011 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Gregg W. Marsano
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): George A. Sellnau
Hearing Site: Dallas, TX
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| 10-03740 | 07/01/2011 | Claimant(s): GLB Trading
Claimant Lawyers(s): Lori S. Varaich
Respondent(s): Richard McCain
Respondent Lawyers(s): Tim Davis
Arbitrator(s): Robert L. Yeager
Hearing Site: Dallas, TX
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| 09-03976 | 06/24/2011 | Claimant(s): First Command Bank, First Command Financial Planning., First Command Financial Services.
Claimant Lawyers(s): Jeremy L. Harmon
Respondent(s): Kenneth Davey
Respondent Lawyers(s): Branden W. Sparks
Arbitrator(s): Ann Blaess Kimball, Russell H Hairston, Larry N. Quinn
Hearing Site: Dallas, TX
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| 09-06133 | 06/24/2011 | Claimant(s): Esposito Securities
Claimant Lawyers(s): Deborah Deitsch-Perez
Respondent(s): Daniel Biaggio, Francis Merrill, Michael Marchand, Stephen Capurso, WFG Investments.
Respondent Lawyers(s): Brian J. Hurst
Arbitrator(s): Robert L. Yeager, Melinda G. Jayson, George F. Longino
Hearing Site: Dallas, TX
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