15-00994 | 06/16/2016 | Claimant(s): Waddell Jeffries Claimant Lawyers(s): Jonathan E. Neuman Respondent(s): Legend Securities. Respondent Lawyers(s): Lawrence R. Gelber Arbitrator(s): Bertrand C. Moser, Alan M. Holzberg, Daniel Stephen Dexter Hearing Site: Houston, TX
| | $80,600 |
13-02390 | 05/15/2015 | Claimant(s): Ann McCorquodale, Knox McCorquodale, Rex McCorquodale Claimant Lawyers(s): Andrew D. Gowdown Respondent(s): Terry Chilton, Chilton Financial Services., Terry Chilton Financial Services, L.P. Respondent Lawyers(s): Cory S. Reed Arbitrator(s): Jack Chapline Vaughan, Allan R. Lazor, Daniel Stephen Dexter Hearing Site: Houston, TX
| | $1,172,250 |
13-01876 | 04/28/2015 | Claimant(s): Brian Parker, Jessica Valentine, Parker Family Trust Claimant Lawyers(s): Joseph R. Marrs Respondent(s): Interactive Brokers LLC Respondent Lawyers(s): John J. Nielands Arbitrator(s): Malcolm Edwin Whittaker, Michael Edward Denosky, Daniel Stephen Dexter Hearing Site: Houston, TX
| | $1,209,600 |
13-02821 | 01/26/2015 | Claimant(s): Dorothy Robertson Claimant Lawyers(s): Samuel B. Edwards Respondent(s): Wells Fargo Advisors Respondent Lawyers(s): Vanessa M Hoffman Arbitrator(s): Philip I. McConnell, Maurice J. Fallas, Daniel Stephen Dexter Hearing Site: Houston, TX
| | Expungement |
13-02109 | 03/26/2014 | Claimant(s): James Dickson, Margery Dickson Claimant Lawyers(s): James Boanerges Respondent(s): Golden Beneficial Securities Corporation Respondent Lawyers(s): Sean Leidelmeyer, CEO Arbitrator(s): Richard F. Dole, Jeff Kilgore, Daniel Stephen Dexter Hearing Site: Houston, TX
| | $2,497,700 |