| 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 |
| 09-07137 | 03/24/2011 | Claimant(s): Estate of Elsie Caldonia Flowers
Claimant Lawyers(s): J. Don Gordon
Respondent(s): Wachovia Securities, Johnnie Cadenhead, A.G. Edwards & Sons.
Respondent Lawyers(s): Johnnie Cadenhead, Will S. Montgomery
Arbitrator(s): Bill H. Brister, Andrea U. Calve, Margaret Louise Ruckriegel
Hearing Site: Dallas, TX
| | $292,953 |
| 09-04549 | 03/22/2011 | Claimant(s): The Roger & Rosemary Enrico Foundation
Claimant Lawyers(s): James P. Graven
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): S. Lawrence Polk
Arbitrator(s): Donald C. Hood, Richard C. Corse, Donna Ross Philip
Hearing Site: Dallas, TX
| | $207,994 |
| 10-00351 | 03/21/2011 | Claimant(s): John Coker
Claimant Lawyers(s): Allen L. Williamson
Respondent(s): Itradedirect.com Corp
Respondent Lawyers(s): Eric Arlt
Arbitrator(s): Thomas M. Campbell, Frances Johnson Wright, Russell H Hairston
Hearing Site: Dallas, TX
| | $446,376 |
| 09-04391 | 01/10/2011 | Claimant(s): Reba Ceniglis, Tom Ceniglis
Claimant Lawyers(s): Richard H. Elliott
Respondent(s): Dale Johnson, Morgan Stanley & Co., William Atwood Jr.
Respondent Lawyers(s): James J. Fontanilla
Arbitrator(s): Sherrie R. Abney, Lawrence R. Maxwell, W. Scott Newmann
Hearing Site: Dallas, TX
| | $0 |
| 10-02096 | 12/16/2010 | Claimant(s): Vicki Williams
Claimant Lawyers(s): Vicki R Williams
Respondent(s): Wells Fargo Investments
Respondent Lawyers(s): Thomas F. Kopshever
Arbitrator(s): Patricia B. Lehtola
Hearing Site: Dallas, TX
| | $0 |
| 09-05032 | 12/15/2010 | Claimant(s): Ensco International Incorporated
Claimant Lawyers(s): Robert L. Wright
Respondent(s): Jefferies & Company.
Respondent Lawyers(s): Martin J. Auberbach
Arbitrator(s): Robert E. Treadaway, Edward J. Lynch, James W. Kerr
Hearing Site: Dallas, TX
| | $0 |
| 09-05881 | 10/28/2010 | Claimant(s): Gay Parks, Vernon Parks
Claimant Lawyers(s): Vernon R. Parks
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Hollie Mason
Arbitrator(s): David A. Schuler
Hearing Site: Dallas, TX
| | $0 |
| 10-00997 | 10/05/2010 | Claimant(s): Ellen Montney
Claimant Lawyers(s): Charles Wolfe
Respondent(s): Frank Sica
Respondent Lawyers(s): Edward Walton
Arbitrator(s): Andrea U. Calve
Hearing Site: Dallas, TX
| | $0 |
| 10-01074 | 09/22/2010 | Claimant(s): PCG Management
Claimant Lawyers(s): James D. Gaberino
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Genna Stephens
Arbitrator(s): T. E. Jaeb
Hearing Site: Dallas, TX
| | $0 |
