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FINRA Awards for Malcolm Edwin Whittaker

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Case Number Award Date Case Summary Customer Case? Amount Granted
14-0074307/15/2015Claimant(s): Scott Zodin
Claimant Lawyers(s): Geoffrey D. Weisbart
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Tracy L. Gerber
Arbitrator(s): Malcolm Edwin Whittaker, Gary L. Foose, Phillip M. Renfro
Hearing Site: Houston, TX
09-0697005/14/2015Claimant(s): Joseph Collins
Claimant Lawyers(s): Joseph Collins
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Edward A. Walton
Arbitrator(s): Gregory E. Cater, Malcolm Edwin Whittaker, Susan Meek
Hearing Site: Houston, TX
12-0408906/06/2014Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Ernest W. Irons
Respondent(s): Royce Simpson
Respondent Lawyers(s): J. Randle Henderson
Arbitrator(s): Selenne Calhamer, Malcolm Edwin Whittaker, Susan Meek
Hearing Site: Houston, TX
10-0420103/02/2011Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Carolyn LaMar
Respondent(s): James May
Respondent Lawyers(s): K.S. Gator Dunn
Arbitrator(s): Malcolm Edwin Whittaker
Hearing Site: Houston, TX

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