| 07-01596 | 05/27/2008 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Brent Lemons
Respondent Lawyers(s): Brent Lemons
Arbitrator(s): R. Dan Mitchell, Simeon R. Trotter, George F. Longino
Hearing Site: Dallas, TX
| | |
| 07-01075 | 04/22/2008 | Claimant(s): Mark Mills
Claimant Lawyers(s): John R. Fahy
Respondent(s): Charles Gallamore, Southwest Texas Capital, L.L.C
Respondent Lawyers(s): Phillip W. Offill
Arbitrator(s): George F. Longino, Russell H Hairston, Robert R. Marquardt
Hearing Site: Dallas, TX
| | |
| 06-02570 | 04/18/2008 | Claimant(s): Prudential Equity Group
Claimant Lawyers(s): Erin A. Rowin
Respondent(s): Chad Johnson
Respondent Lawyers(s): Chad J. Johnson
Arbitrator(s): Charles E. Martin
Hearing Site: Dallas, TX
| | |
| 07-01862 | 03/27/2008 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Frank J. Vitolo
Respondent(s): Joel Griffin
Respondent Lawyers(s): Joel D. Griffin
Arbitrator(s): R. Theodore Moock
Hearing Site: Dallas, TX
| | |
| 06-05422 | 02/08/2008 | Claimant(s): Fiduciary Financial Services
Claimant Lawyers(s): John A. Koepke
Respondent(s): Mark Warner, The Masters., VSR Financial Services.
Respondent Lawyers(s): Jon M. Stanfield, Nathan J. Schwartz
Arbitrator(s): Marie A. Moore, Richard A Miller, Anita M. Jean
Hearing Site: Dallas, TX
| | |
| 07-00449 | 01/11/2008 | Claimant(s): Citigroup Global Markets., Citigroup Global Markets Holdings
Claimant Lawyers(s): W. Jerad Rissler
Respondent(s): Ronald Powell
Respondent Lawyers(s): Melissa Villarreal Garcia
Arbitrator(s): William E. Barker
Hearing Site: Dallas, TX
| | |
| 07-00687 | 01/10/2008 | Claimant(s): Morgan Keegan & Company.
Claimant Lawyers(s): Shea O'Brien Hicks
Respondent(s): William Vancleve
Respondent Lawyers(s): William Early Vancleve
Arbitrator(s): Mark I Preston, Simeon R. Trotter, Preston Deaton Rigsby
Hearing Site: Dallas, TX
| | |
| 05-06247 | 11/26/2007 | Claimant(s): RBC Dain Rauscher.
Claimant Lawyers(s): Nancy L. Hendrickson
Respondent(s): Dale Johnson, James Tallant, John Pennington, Keith Shahan, Morgan Stanley DW Inc., Samuel Sloane, Susan Stroud
Respondent Lawyers(s): Bruce W. Day
Arbitrator(s): Simeon R. Trotter, Malcolm W. Clarrissimeaux, Ted Martin Akin
Hearing Site: Dallas, TX
| | |
| 06-00880 | 11/26/2007 | Claimant(s): Jeffrey Carroll, UBS Financial Services Inc., Rebecca Gadus
Claimant Lawyers(s): Jin-Ho Chung
Respondent(s): Sammy Gordon
Respondent Lawyers(s): Leonard Weintraub
Arbitrator(s): Joann Peters, Bill M. Lamoreaux, Richard A Miller
Hearing Site: Dallas, TX
| | |
| 07-00713 | 11/21/2007 | Claimant(s): RBC Dain Rauscher.
Claimant Lawyers(s): Carolyn Guy
Respondent(s): Donald Relyea
Respondent Lawyers(s): Donald H. Relyea
Arbitrator(s): Henry Hermann, Ronald G. Johnson, Terry Landry
Hearing Site: Dallas, TX
| | |
