| 11-03538 | 03/16/2012 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): Faisal Khan
Respondent Lawyers(s): Faisal David Khan
Arbitrator(s): Thomas D. Nagle
Hearing Site: Houston, TX
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| 11-00184 | 02/23/2012 | Claimant(s): Lloyd Clark
Claimant Lawyers(s): Malinda Ann Gaul
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Denise Cotter Villani
Arbitrator(s): Kenneth M. Jackson, Juanita D. McKethan, Michael L. Landrum
Hearing Site: Houston, TX
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| 10-05348 | 02/17/2012 | Claimant(s): Wells Fargo Investments
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Kenneth Horswell
Respondent Lawyers(s): Kenneth Alan Horswell
Arbitrator(s): James G. Cooper, Michael J. Ahlstrom, Jeff Kilgore
Hearing Site: Houston, TX
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| 10-03829 | 01/20/2012 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Edward C. Nowak
Respondent(s): Peggy Stavinoha
Respondent Lawyers(s): Reagan D. Pratt
Arbitrator(s): William R. Jonson
Hearing Site: Houston, TX
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| 11-01776 | 01/20/2012 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Jessica G. Klein
Respondent(s): Kyle Cronan
Respondent Lawyers(s): Kyle Thomas Cronan
Arbitrator(s): Philip I. McConnell
Hearing Site: Houston, TX
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| 11-02350 | 01/10/2012 | Claimant(s): SWBC Investment Services
Claimant Lawyers(s): Retta A. Miller
Respondent(s): Greg Thompson, Titleist Asset Management, Ltd.
Respondent Lawyers(s): Royal B. Lea
Arbitrator(s): Linda Broocks, Arno C. Schwethelm, Lynne M. Gomez
Hearing Site: Houston, TX
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| 10-05101 | 12/22/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Brian S. Hormozi
Respondent(s): Edward Lawrence
Respondent Lawyers(s): Edward Lawrence
Arbitrator(s): J. Maxwell Williams
Hearing Site: Houston, TX
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| 10-03903 | 12/19/2011 | Claimant(s): Leroy Hayes
Claimant Lawyers(s): Leroy Hayes
Respondent(s): Questar Capital Corporation
Respondent Lawyers(s): J. Jackson
Arbitrator(s): Charles A. Bankston, William Edward Buck, Stacey L. Barnes
Hearing Site: Houston, TX
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| 10-04177 | 11/22/2011 | Claimant(s): Nick Bohmann
Claimant Lawyers(s): Nick R. Bohmann
Respondent(s): New England Securities, Marc Colby, Michael Priede, Metlife Securities Inc.
Respondent Lawyers(s): Ethan G. Zelizer
Arbitrator(s): R. Lee Britton Jr.
Hearing Site: Houston, TX
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| 09-06504 | 11/16/2011 | Claimant(s): Patrick Mendenhall
Claimant Lawyers(s): Brian E. Bro
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Robert L. Ivey
Arbitrator(s): Nathan Levy, Jeff Kilgore, Mary Esther Escobedo
Hearing Site: Houston, TX
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