| 13-02838 | 12/17/2015 | Claimant(s): George Shelton
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Andrew R. Park
Arbitrator(s): Maxel (Bud) B. Silverberg, James L. Goble, Jeffrey Richard Chiappetta
Hearing Site: Dallas, TX
|  | Expungement |
| 13-02680 | 04/29/2014 | Claimant(s): Robert Burns, Robert E. Burns IRA
Claimant Lawyers(s): Keith L. Griffin
Respondent(s): Geneos Wealth Management.
Respondent Lawyers(s): K. Clark Phipps
Arbitrator(s): Maxel (Bud) B. Silverberg
Hearing Site: Oklahoma City, OK
| | $300 |
| 13-00534 | 02/10/2014 | Claimant(s): William Fitzpatrick
Claimant Lawyers(s): Richard A. Lewins
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Susan E. Sheely
Arbitrator(s): Maxel (Bud) B. Silverberg, C. Sumpter Logan, George Young Banks
Hearing Site: Dallas, TX
| | $0 |
| 08-03816 | 07/29/2011 | Claimant(s): Othello Capital GP, Othello Capital Partners LP
Claimant Lawyers(s): Janet K. DeCosta
Respondent(s): Jackson Su, Penson Financial Services., Othello Capital Management LLC
Respondent Lawyers(s): Elizabeth A. Frohlich, Janet K. DeCosta
Arbitrator(s): Mark I Preston, Maxel (Bud) B. Silverberg, Theodore Mack
Hearing Site: Dallas, TX
| | $250,000 |
| 09-01485 | 03/24/2011 | Claimant(s): Adam C. Singer 2004 Trust U/A DTD 20FEB0
Claimant Lawyers(s): Scott A. Shanes
Respondent(s): Goldman, Sachs and Company
Respondent Lawyers(s): Sharon J. Shumway
Arbitrator(s): Maxel (Bud) B. Silverberg, Daniel A. Kile, Richard Frederick Schaufert
Hearing Site: Dallas, TX
| | $450,000 |
| 09-01200 | 09/17/2010 | Claimant(s): Darin Bryant, Janie Bryant
Claimant Lawyers(s): Richard A. Lewins
Respondent(s): Morgan Stanley & Co., Robert Wyatt
Respondent Lawyers(s): Anthony L. Valenzuela
Arbitrator(s): Maxel (Bud) B. Silverberg, Robert C. Denenberg, Edward J. Lynch
Hearing Site: Dallas, TX
| | $0 |
| 08-03255 | 03/31/2010 | Claimant(s): Frank Sellers, Jay Carpenter
Claimant Lawyers(s): Kent W. Starr
Respondent(s): Stifel, Nicolaus & Co.., Steven Bright
Respondent Lawyers(s): Will S. Montgomery
Arbitrator(s): Maxel (Bud) B. Silverberg, Marie A. Moore, Philip I. McConnell
Hearing Site: Dallas, TX
| | $366,300 |
| 08-03614 | 11/19/2009 | Claimant(s): James Jones
Claimant Lawyers(s): James M. Jones
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Maxel (Bud) B. Silverberg, Kurt L. Smith, Russell H Hairston
Hearing Site: Dallas, TX
| | $0 |
| 08-02916 | 11/11/2009 | Claimant(s): Catherine Etheridge, Jeffrey Pollard, John Pollard, Mary Pollard, Mary Margaret Etheridge Custodial, Estate of Jane Thomason Pollard, Jeffrey Thomason Pollard IRA, Mary E. Pollard Contributory IRA
Claimant Lawyers(s): Henry Simpson
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Joshua D. Jones
Arbitrator(s): Maxel (Bud) B. Silverberg, Peter J. Conlon, Roland D. Freeman
Hearing Site: Dallas, TX
| | $0 |
| 08-01204 | 06/04/2009 | Claimant(s): Brian McDonald
Claimant Lawyers(s): Retta A. Miller
Respondent(s): Robyn Reagan, Regal Securities Inc.
Respondent Lawyers(s): Nicholas P. Iavarone, Steven J. Berry
Arbitrator(s): Maxel (Bud) B. Silverberg, George F. Longino, Leighton Aiken
Hearing Site: Dallas, TX
| | $172,864 |
