| 12-03249 | 11/27/2013 | Claimant(s): Lawrence Wilkerson
Claimant Lawyers(s): Robert K. Savage
Respondent(s): IMS Securities.
Respondent Lawyers(s): J. Randle Henderson
Arbitrator(s): Arno C. Schwethelm
Hearing Site: Houston, TX
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| 11-00790 | 11/20/2013 | Claimant(s): John Ginsburg
Claimant Lawyers(s): Daniel J. Goldberg
Respondent(s): Christa Burgett, Morgan Stanley, Lisa Creegan, Manny Canales, Mary Mullis
Respondent Lawyers(s): Nancy L. Patterson
Arbitrator(s): W. Merrill Glasgow, Jerry C. Prestridge, Carol Akers Klug
Hearing Site: Houston, TX
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| 11-02570 | 11/11/2013 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes FA
Claimant Lawyers(s): Sophie I. Myers
Respondent(s): Cynthia Barrera
Respondent Lawyers(s): Cynthia Marie Barrera
Arbitrator(s): R. Lee Britton Jr.
Hearing Site: Houston, TX
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| 12-01859 | 10/16/2013 | Claimant(s): Joan Teachworth, Walter Teachworth
Claimant Lawyers(s): Mark C. Watler
Respondent(s): Charles Schwab & Co.., Charles Schwab Investment Management,
Respondent Lawyers(s): Michael West
Arbitrator(s): Mary Ann Tunick, Thomas A. Cipolla, Raymond C. Kerr
Hearing Site: Houston, TX
| | Expungement |
| 13-00757 | 08/19/2013 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Jessica G. Klein
Respondent(s): Christopher Bouyear
Respondent Lawyers(s): Christopher Bouyear
Arbitrator(s): George A. Sellnau
Hearing Site: Houston, TX
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| 12-01127 | 08/15/2013 | Claimant(s): BOSC.
Claimant Lawyers(s): Jo Lynn Jeter
Respondent(s): Brandon Henry, Carey Kesner, Jay Goldberg
Respondent Lawyers(s): Millard A. Johnson
Arbitrator(s): Oren L. Connaway
Hearing Site: Houston, TX
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| 12-00152 | 07/26/2013 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc., Merrill Lynch International Finance
Claimant Lawyers(s): Jason K. Roberts
Respondent(s): Danford Meischen
Respondent Lawyers(s): J.B. Trey Henderson
Arbitrator(s): Daniel J. Pagnano, Nichole C. Ake, Clark Willis Richards
Hearing Site: Houston, TX
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| 12-04035 | 07/19/2013 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Alex M. Komoroski
Respondent(s): Michael Koletar
Respondent Lawyers(s): Michael Charles Koletar
Arbitrator(s): Philip I. McConnell
Hearing Site: Houston, TX
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| 13-00105 | 07/17/2013 | Claimant(s): Morgan Stanley, Morgan Stanely Smith Barney FA Notes
Claimant Lawyers(s): Jonathan Berg, Esq.
Respondent(s): David Naumann
Respondent Lawyers(s): David M. Naumann
Arbitrator(s): Bertrand C. Moser
Hearing Site: Houston, TX
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| 11-02862 | 05/22/2013 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): Joseph Dunn
Respondent Lawyers(s): Joseph Dunn
Arbitrator(s): Jeff Kilgore
Hearing Site: Houston, TX
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