17-02783 | 12/07/2018 | Claimant(s): Stephen Shaper Claimant Lawyers(s): Jennifer Tarr Respondent(s): Andrew Tressler, Cassandra Woodward, Todd Aitken, Liberty Partners Financial Services Respondent Lawyers(s): Eric J. Sussman Arbitrator(s): Dale A. Hearn, Brian James Tagtmeier, Stuart Diamond Hearing Site: Houston, TX
| | $0 |
12-02101 | 12/19/2013 | Claimant(s): Estate of Dorris Arris Claimant Lawyers(s): Roger G. Bresnahan Respondent(s): Wachovia Securities, Wells Fargo Advisors, Gerald Cohn, The Cohn Financial Group Respondent Lawyers(s): Martha F. McDugald Arbitrator(s): Dale A. Hearn, Charles E. Munson, Stephanie E. Simmons Hearing Site: Houston, TX
| | Expungement |
11-00594 | 02/29/2012 | Claimant(s): Robert Elberger Claimant Lawyers(s): Ronald M. Cohen Respondent(s): Wells Fargo Investments, Jay Haley Respondent Lawyers(s): Martha F. McDugald Arbitrator(s): Thomas D. Nagle, Dale A. Hearn, Alan M. Holzberg Hearing Site: Houston, TX
| | $0 |
09-02570 | 05/20/2010 | Claimant(s): Sue Lane Claimant Lawyers(s): Milton H. Fried Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Kathryn R. Eldridge Arbitrator(s): David G. Beerbower, George A. Sellnau, Dale A. Hearn Hearing Site: Houston, TX
| | $0 |
08-04902 | 05/13/2010 | Claimant(s): Mary Davis Claimant Lawyers(s): Lee Bowie Respondent(s): Alan Ferguson, James Kelsoe, Lynn Shaw, Morgan Keegan & Company. Respondent Lawyers(s): Suzanne H. Bertolett Arbitrator(s): Donald K. Eckhardt, Dale A. Hearn, Robert M. Lubin Hearing Site: Jackson, MS
| | $196,958 |
08-04027 | 03/29/2010 | Claimant(s): Arun Verma, Karuna Verma, Makan Limited Partnership Claimant Lawyers(s): C. Mark Stratton Respondent(s): Wachovia Securities, John Montfort, A.G. Edwards & Sons. Respondent Lawyers(s): Daniel Kirshbaum, Jack C. Ballard Arbitrator(s): Thomas D. Nagle, Dale A. Hearn, Charles S. Chester Hearing Site: Houston, TX
| | $82,837 |