| 11-01076 | 11/15/2011 | Claimant(s): Estate of Lois E. Walker
Claimant Lawyers(s): Peter F. Walker
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Deirdre Wolff
Arbitrator(s): Frances Johnson Wright
Hearing Site: Dallas, TX
|  | $20,819 |
| 10-05297 | 10/27/2011 | Claimant(s): Rosalin Rogers
Claimant Lawyers(s): Rosalin Rogers
Respondent(s): Randall Pope
Respondent Lawyers(s): Randall Lane Pope
Arbitrator(s): Joann Peters, Robert L. Yeager, Jay M. Vogelson
Hearing Site: Dallas, TX
| | $182,334 |
| 10-05036 | 10/21/2011 | Claimant(s): Douglas Leach
Claimant Lawyers(s): Michael J. Calvey
Respondent(s): Gary Purcell, Marco Alfonsi, Richard Lewin, Robert Lewin, Basic Investors Inc., Penson Financial Services.
Respondent Lawyers(s): Charles M. O'Rourke, Jonathan D. Neerman, Mark S. Gregory, Thomas Laundrie
Arbitrator(s): G. Maynard Green, Robert J. Gregory, Russell H Hairston
Hearing Site: Dallas, TX
| | $0 |
| 09-07068 | 10/18/2011 | Claimant(s): Dan Carlyle
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Will S. Montgomery
Arbitrator(s): Robert L. Chisolm, Robert J. Gregory, Paul L. Salzberger
Hearing Site: Dallas, TX
| | Expungement |
| 07-02030 | 10/12/2011 | Claimant(s): Scott Johnson
Claimant Lawyers(s): Joseph F. Myers
Respondent(s): Buddie Ballard, Wachovia Securities
Respondent Lawyers(s): Deirdre Wolff, Hamilton Rial
Arbitrator(s): Louis J. Weber, Priscilla Kim Park, Carleton E. Blankenburg
Hearing Site: Dallas, TX
| | $0 |
| 09-06022 | 09/22/2011 | Claimant(s): Dallas Blagg, Robyn Ward-Blagg
Claimant Lawyers(s): Jason A. Archinaco
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): G. Wayne Hillis
Arbitrator(s): Robert J. Gregory, James Douglas Haigh, Sam Adatto Kayem
Hearing Site: Dallas, TX
| | $0 |
| 10-04120 | 09/09/2011 | Claimant(s): Mary Pihlak
Claimant Lawyers(s): James W. George
Respondent(s): Edward Jones
Respondent Lawyers(s): Dennis J. Capriglione
Arbitrator(s): Robert L. Yeager
Hearing Site: Dallas, TX
| | $32,671 |
| 10-01343 | 08/01/2011 | Claimant(s): Beatrice McRae, Buford McRae, Robert Lee, B.E. McRae Family Limited Partnership, Robert Earl Lee Rev Trust
Claimant Lawyers(s): Kalju Nekvasil
Respondent(s): Capwest Securities.
Respondent Lawyers(s): H. Thomas Fehn
Arbitrator(s): Robert L. Chisolm, Richard Frederick Schaufert, James W. Kerr
Hearing Site: Dallas, TX
| | $931,960 |
| 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 |
| 10-02366 | 07/06/2011 | Claimant(s): Keith Houser, Biotech Medics.
Claimant Lawyers(s): Keith G. Smith
Respondent(s): Nevwest Securities Corporation
Respondent Lawyers(s): Sergey Rumyantsev
Arbitrator(s): Joann Peters
Hearing Site: Dallas, TX
| | $1,792,570 |
