| 10-01885 | 06/10/2011 | Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): David Smith
Respondent(s): Richard Lewie
Respondent Lawyers(s): Richard K. Lewie
Arbitrator(s): Mark A. Myers
Hearing Site: Dallas, TX
| | |
| 09-05623 | 06/07/2011 | Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Monica Aguayo
Respondent Lawyers(s): Victor F. Poulos
Arbitrator(s): Raymond E. Tompkins
Hearing Site: Dallas, TX
| | |
| 08-02399 | 06/06/2011 | Claimant(s): Kimberly Hutcheson
Claimant Lawyers(s): Brian P. Sanford
Respondent(s): Audrey Gibson, Gary Carby, Citigroup Global Markets., Stephen Caine, Citigroup.
Respondent Lawyers(s): Tiffany C. Woodie
Arbitrator(s): Jeff Abrams, Joseph A. Vicario, Edward S. Koppman
Hearing Site: Dallas, TX
| | |
| 10-02638 | 06/03/2011 | Claimant(s): Morgan Keegan & Company.
Claimant Lawyers(s): Will S. Montgomery
Respondent(s): Michael Venable
Respondent Lawyers(s): Cody L. Towns
Arbitrator(s): R. Theodore Moock, Maryanne M. Esser, Corbet F. Bryant
Hearing Site: Dallas, TX
| | |
| 10-05041 | 06/03/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Megan A. Smith
Respondent(s): Joseph Bazbaz
Respondent Lawyers(s): Joseph Bazbaz
Arbitrator(s): Charles A. Joplin
Hearing Site: Dallas, TX
| | |
| 09-05994 | 05/23/2011 | Claimant(s): Raymond, James & Associates.
Claimant Lawyers(s): Kelli Bullington
Respondent(s): Willard White
Respondent Lawyers(s): J. Randle Henderson
Arbitrator(s): Charles T. Dix, William E. Hartsfield, Mary Elizabeth Skelnik
Hearing Site: Dallas, TX
| | |
| 10-04701 | 04/12/2011 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): James Van Dyke
Respondent(s): Robert Nethery
Respondent Lawyers(s): Robert Curtis Nethery
Arbitrator(s): Andrea U. Calve
Hearing Site: Dallas, TX
| | |
| 10-00989 | 03/30/2011 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Yana Kromo
Respondent(s): Mark Fowler
Respondent Lawyers(s): Mark W. Fowler
Arbitrator(s): George A. Sellnau
Hearing Site: Dallas, TX
| | |
| 09-03917 | 03/23/2011 | Claimant(s): Southwest Securities.
Claimant Lawyers(s): Brian J. Hurst
Respondent(s): Bryan Luter
Respondent Lawyers(s): Joyce W. Lindauer
Arbitrator(s): Linda B. Kelly, George F. Longino, Margaret Louise Ruckriegel
Hearing Site: Dallas, TX
| | |
| 09-05259 | 03/23/2011 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): John C. Steele
Respondent(s): Mark Gardner
Respondent Lawyers(s): Mark Steven Gardner
Arbitrator(s): Bill H. Brister, G. Maynard Green, Larry N. Quinn
Hearing Site: Dallas, TX
| | |
