| 11-00895 | 01/10/2012 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Megan A. Smith
Respondent(s): Gerard Gremillion
Respondent Lawyers(s): Gerard Chandler Gremillion
Arbitrator(s): Jeffrey R. Jury
Hearing Site: New Orleans, LA
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| 10-01141 | 12/13/2011 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc., Merrill Lynch International Finance
Claimant Lawyers(s): Jason K. Roberts
Respondent(s): Daniel Hudson
Respondent Lawyers(s): Bruce V Schewe
Arbitrator(s): Frederick H. Bruce, Lynne R. Stern, Kathryn M. Welsh
Hearing Site: New Orleans, LA
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| 09-05790 | 12/22/2010 | Claimant(s): Global Wealth Care Group, L.L.C.
Claimant Lawyers(s): Bruce V. Schewe
Respondent(s): Craig Babineaux
Respondent Lawyers(s): Paul J. Hebert
Arbitrator(s): Mark A. Myers, John C. Anjier, David Walton Earle
Hearing Site: New Orleans, LA
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| 09-06410 | 12/02/2010 | Claimant(s): John Hurd, John Walsh, Marc Bonifacic
Claimant Lawyers(s): Peter B. Sloss
Respondent(s): Thomas Pritchard, Todd Giustiniano, Pritchard Capital Holding
Respondent Lawyers(s): Thomas K. Potter
Arbitrator(s): Charles A. Bosworth, Kurt D. Steiner, Onnig Hatchig Dombalagian
Hearing Site: New Orleans, LA
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| 10-01109 | 08/16/2010 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Mauricio S. Beugelmans
Respondent(s): James Sumpter
Respondent Lawyers(s): James H. Sumpter
Arbitrator(s): Stephen P. Hoffman
Hearing Site: New Orleans, LA
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| 09-01532 | 05/03/2010 | Claimant(s): J.P. Morgan Securities, JP Morgan Chase and Company
Claimant Lawyers(s): Murphy J. Foster
Respondent(s): Wachovia Securities, James Poche, Kevin Knobloch, Shaun Burns
Respondent Lawyers(s): Thomas K. Potter
Arbitrator(s): C. Ellis Henican, David J. Schexnaydre, Richard J. Clement
Hearing Site: New Orleans, LA
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| 08-04342 | 02/05/2010 | Claimant(s): Dean Bordelon
Claimant Lawyers(s): Bryan Forman
Respondent(s): Royal Alliance Associates.
Respondent Lawyers(s): Craig H. Kuglar
Arbitrator(s): Mark A. Myers, Charles K Reasonover, Richard J. Clement
Hearing Site: New Orleans, LA
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| 07-03283 | 10/15/2009 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Michael R. Greco
Respondent(s): Eric Dunavant
Respondent Lawyers(s): Thomas K. Potter
Arbitrator(s): Prince C. Chambliss, G. Phillip Shuler, Robert A. Wojcik
Hearing Site: New Orleans, LA
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| 08-01582 | 06/26/2009 | Claimant(s): Raymond, James & Associates.
Claimant Lawyers(s): Robert M. Rudnicki
Respondent(s): Joe King, Walter Woodrick
Respondent Lawyers(s): Frederick S. Schrils, Paul W. Thomas
Arbitrator(s): George A. Sellnau, Mark A. Myers, Rene Guas
Hearing Site: New Orleans, LA
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| 08-01668 | 06/25/2009 | Claimant(s): Walter Woodrick
Claimant Lawyers(s): Paul M. Thomas
Respondent(s): Joe King, Raymond James & Associates.
Respondent Lawyers(s): Frederick S. Schrils, Robert Rudnicki
Arbitrator(s):
Hearing Site: New Orleans, LA
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