| 07-03410 | 03/15/2011 | Claimant(s): Dennis Serio
Claimant Lawyers(s): Eric Madden
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Ross Forbes
Arbitrator(s): Edwin J. Tomko, Lawrence R. Maxwell, Mary Day Smelser
Hearing Site: Dallas, TX
| | |
| 10-04939 | 02/25/2011 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Christopher S. Griesmeyer
Respondent(s): Michael Alexander
Respondent Lawyers(s): Michael Allen Alexander
Arbitrator(s): Philip I. McConnell
Hearing Site: Dallas, TX
| | |
| 09-02624 | 02/04/2011 | Claimant(s): Edward Jones
Claimant Lawyers(s): Michael J. Whellan
Respondent(s): Preston Rosamond, Summit Brokerage Services
Respondent Lawyers(s): Bogdan Rentea
Arbitrator(s): Edwin J. Tomko, Frances Johnson Wright, Jill M. Zacha
Hearing Site: Dallas, TX
| | |
| 09-06229 | 01/21/2011 | Claimant(s): Roland Heidelberg
Claimant Lawyers(s): Roland B. Heidelberg
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Christian Aviza
Arbitrator(s): Lawrence R. Maxwell, W. Scott Newmann, Corbet F. Bryant
Hearing Site: Dallas, TX
| | |
| 08-05026 | 01/20/2011 | Claimant(s): Fox & Company Investments Inc.
Claimant Lawyers(s): Richard A. Lewins
Respondent(s): John Shryack, Steven Gundy, Milkie/Ferguson Investments.
Respondent Lawyers(s): David A. Zisser, Henry J. Ackels
Arbitrator(s): Maxel (Bud) B. Silverberg, James L. Goble, Robert M. Nicoud
Hearing Site: Dallas, TX
| | |
| 10-02582 | 12/29/2010 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Todd Ratner
Respondent(s): Allison Tarpley, UBS Financial Services Inc.
Respondent Lawyers(s): John M. Phalen, Molly Tatman
Arbitrator(s): Mark L. Williams
Hearing Site: Dallas, TX
| | |
| 10-02601 | 12/16/2010 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Nicole E. Stadelmaier
Respondent(s): Wilson Chan
Respondent Lawyers(s): Wilson Chan
Arbitrator(s): Bill H. Brister
Hearing Site: Dallas, TX
| | |
| 09-02634 | 12/02/2010 | Claimant(s): Reef Securities.
Claimant Lawyers(s): Joel Held
Respondent(s): James Buquoi, Ryan Wright
Respondent Lawyers(s): Cleveland G. Clinton
Arbitrator(s): G. Dale McKissick, Daniel A. Kile, Nicole T. LeBoeuf
Hearing Site: Dallas, TX
| | |
| 10-02042 | 11/29/2010 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): James Van Dyke
Respondent(s): Jonathan Dameron
Respondent Lawyers(s): Jonathan Beau Dameron
Arbitrator(s): Helmut O. Wolff
Hearing Site: Dallas, TX
| | |
| 10-03047 | 11/29/2010 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Mary Jo Cantu
Respondent(s): Trey Trammell
Respondent Lawyers(s): Trey Calvin Trammell
Arbitrator(s): Patricia B. Lehtola
Hearing Site: Dallas, TX
| | |
