| 10-04568 | 10/22/2012 | Claimant(s): Clay Border
Claimant Lawyers(s): John T. McDowell
Respondent(s): Pritchard Capital Partners
Respondent Lawyers(s): Todd Giustiniano
Arbitrator(s): David G. Beerbower, Eric R. Benton, Irving Sylvester Moses
Hearing Site: Houston, TX
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| 11-01973 | 10/05/2012 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael F. Braun
Respondent(s): Russell Eaton
Respondent Lawyers(s): Travis Eaton
Arbitrator(s): Daniel J. Pagnano
Hearing Site: Houston, TX
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| 11-02521 | 09/10/2012 | Claimant(s): Lonnie Evans
Claimant Lawyers(s): David E. Dunham
Respondent(s): Raymond, James & Associates., Richard Funk, Teresa Finney
Respondent Lawyers(s): Scott D. Ellis
Arbitrator(s): Gary D. Danna, Susan Meek, Jeffrey R. Jury
Hearing Site: Houston, TX
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| 11-01644 | 08/17/2012 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Jeffrey Zimmerman
Respondent(s): Richard Swetish
Respondent Lawyers(s): Christopher A. Dorsey
Arbitrator(s): Sherry R. Wetsch, Brian E. Bro, James E. Lane
Hearing Site: Houston, TX
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| 12-00396 | 07/18/2012 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Jeffrey Riley
Respondent Lawyers(s): Jeffrey S Riley
Arbitrator(s): Thomas D. Nagle
Hearing Site: Houston, TX
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| 11-00253 | 05/29/2012 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Jason E. Murtagh
Respondent(s): Christopher Coulter
Respondent Lawyers(s): Jonathan C. Andresen
Arbitrator(s): George A. Sellnau
Hearing Site: Houston, TX
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| 11-01743 | 05/25/2012 | Claimant(s): Blake Pratz
Claimant Lawyers(s): John L. Grayson
Respondent(s): Kirstin Turner, Morgan Stanley, Rose Cook
Respondent Lawyers(s): Nancy L. Patterson
Arbitrator(s): Vernon Keith Roberts, William Edward Buck, Michael S. Wilk
Hearing Site: Houston, TX
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| 11-00299 | 05/03/2012 | Claimant(s): Edward Jones
Claimant Lawyers(s): Christopher A. Pickett
Respondent(s): Jason Reeves
Respondent Lawyers(s): Joel H. Thomas
Arbitrator(s): George A. Sellnau, Christine Winn Powell, Brian James Tagtmeier
Hearing Site: Houston, TX
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| 11-01732 | 04/27/2012 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Christopher S. Griesmeyer
Respondent(s): Aaron Redding
Respondent Lawyers(s): Aaron Redding
Arbitrator(s): Thomas D. Nagle
Hearing Site: Houston, TX
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| 10-05818 | 04/18/2012 | Claimant(s): Robert Higley
Claimant Lawyers(s): Earnest W. Wotring
Respondent(s): James Bashaw, JEB NEWCO, L.L.C., James E. Bashaw & Co.
Respondent Lawyers(s): David E. Wynne
Arbitrator(s): David G. Beerbower, Jack Chapline Vaughan, Stephen T. Johnson
Hearing Site: Houston, TX
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