| 07-01009 | 02/23/2009 | Claimant(s): Virgil Smith
Claimant Lawyers(s): Virgel L. Smith
Respondent(s): Southwest Securities.
Respondent Lawyers(s): Gary S. Kessler
Arbitrator(s): Simeon R. Trotter, Peter J. Conlon, David Max Sanderford
Hearing Site: Dallas, TX
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| 08-01843 | 02/09/2009 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Will Stute
Respondent(s): Jonathan Hunsucker
Respondent Lawyers(s): Jonathan Scott Hunsucker
Arbitrator(s): Patricia J. Branco
Hearing Site: Dallas, TX
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| 08-01135 | 01/30/2009 | Claimant(s): Jason Coulter
Claimant Lawyers(s): Jason Coulter
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Tracy L. Gerber
Arbitrator(s): Robert L. Yeager, Kenneth R. Hanks, Corbet F. Bryant
Hearing Site: Dallas, TX
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| 08-01837 | 11/19/2008 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Will Stute
Respondent(s): Edward Baxter
Respondent Lawyers(s): Edward Antheal Baxter
Arbitrator(s): Charles T. Dix
Hearing Site: Dallas, TX
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| 07-02546 | 11/10/2008 | Claimant(s): Roger Anderson
Claimant Lawyers(s): Joan A. Renegar
Respondent(s): Southwest Securities.
Respondent Lawyers(s): Bryan J. Hurst
Arbitrator(s): G. Dale McKissick, Daniel A. Kile, Edward J. Lynch
Hearing Site: Dallas, TX
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| 08-00513 | 10/16/2008 | Claimant(s): SMH Capital Inc.
Claimant Lawyers(s): Martha E. McDugald
Respondent(s): Eric Edson
Respondent Lawyers(s): Eric Charles Edson
Arbitrator(s): John M. Wilkinson, George F. Longino, Robert E. Treadaway
Hearing Site: Dallas, TX
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| 07-02943 | 10/01/2008 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Thomas A. Volz
Respondent(s): Candice Davis-Dunn
Respondent Lawyers(s): Grace Weatherly
Arbitrator(s): William E. Hartsfield, Terry Landry, Joseph G. Werner
Hearing Site: Dallas, TX
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| 07-02144 | 09/23/2008 | Claimant(s): Morgan Keegan & Company.
Claimant Lawyers(s): Shea O'Brien Hicks
Respondent(s): Holt Harris
Respondent Lawyers(s): Holt E. Harris
Arbitrator(s): George F. Longino
Hearing Site: Dallas, TX
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| 06-04808 | 08/27/2008 | Claimant(s): Chestnut Energy Partners., a/k/a
Claimant Lawyers(s): John T. Gerhart
Respondent(s): Thomas Tapia
Respondent Lawyers(s): Thomas Tapia
Arbitrator(s): Joann Peters, Peter J. Conlon, Edward J. Lynch
Hearing Site: Dallas, TX
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| 07-01275 | 07/25/2008 | Claimant(s): First Command Financial Planning., First Command Financial Services.
Claimant Lawyers(s): Jeremy L. Harmon, Lee F. Christie
Respondent(s): James Washnock, John Washnock
Respondent Lawyers(s): Gregory T. Talley
Arbitrator(s): Jack K. Lovette, Daniel A. Kile, Robert E. Treadaway
Hearing Site: Dallas, TX
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