| 09-01331 | 08/01/2011 | Claimant(s): Carl Meisner
Claimant Lawyers(s): Eric L. Rhodes
Respondent(s): David Endres, Citigroup Global Markets.
Respondent Lawyers(s): Raul Sanchez
Arbitrator(s): James G. Cooper, Philip I. McConnell, Charles E. Munson
Hearing Site: Houston, TX
|  | $375 |
| 09-03912 | 04/19/2011 | Claimant(s): John Hogge
Claimant Lawyers(s): Mark Cohen
Respondent(s): A.G. Edwards & Sons.
Respondent Lawyers(s): Will S. Montgomery
Arbitrator(s): James G. Cooper, George A. Sellnau, Philip I. McConnell
Hearing Site: Houston, TX
| | $0 |
| 09-04204 | 11/16/2010 | Claimant(s): George Allibone, June Allibone, Allibone Family Ltd. Partnership
Claimant Lawyers(s): Ernest W. Boyd
Respondent(s): Wachovia Securities, Joseph Klages, Nolan Caldwell, A.G. Edwards & Sons., Wells Fargo Advisors
Respondent Lawyers(s): Will S. Montgomery
Arbitrator(s): Philip I. McConnell, Howard J. Siegel, Ross D. Friend
Hearing Site: Houston, 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 |
| 06-04285 | 01/21/2010 | Claimant(s): Gary and Stephanie Barnett
Claimant Lawyers(s): David A. Szwak
Respondent(s): Gregory Garson, Capital Partners LLC, First Allied Securities.
Respondent Lawyers(s): Daniel S. Newman
Arbitrator(s): Philip I. McConnell, Robert G. Clark, Ted Martin Akin
Hearing Site: Dallas, TX
| | $0 |
| 08-03252 | 10/26/2009 | Claimant(s): Lavon Voyles
Claimant Lawyers(s): Richard H. Elliot
Respondent(s): Walter Wilson, ING Financial Partners.
Respondent Lawyers(s): Greg Moore
Arbitrator(s): Linda Broocks, Philip I. McConnell, Lynne M. Gomez
Hearing Site: Houston, TX
| | $300 |
| 07-02314 | 08/28/2008 | Claimant(s): Susan Key
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Arnold Riley, Debra Mae Stephens, Citigroup Global Markets., Michael Handlin, Ozzie Bauer, Thomas Howard, Financial Network Investment Corp., ING Financial Advisers
Respondent Lawyers(s): Andrew R. Harvin, Greg Moore, Hugo A. Hilgendorff, IV
Arbitrator(s): Leonard J. Sullivan, Jeffrey M. Aboloff, Philip I. McConnell
Hearing Site: Houston, TX
| | Stipulated Award and Expungement |
