| 21-02651 | 03/22/2023 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Matthew B. Henneman
Respondent(s): Gregory Novak, Tracy Druce
Respondent Lawyers(s): Gregory Novak, Tracy Druce
Arbitrator(s): Linda Broocks, Daniel J. Pagnano, William G Brown
Hearing Site: Houston, TX
|  | $260,436 |
| 17-02090 | 11/23/2020 | Claimant(s): Colleen Simmons, Kenneth Thompson, Kenneth P. Thompson ROTH IRA, Simmons Living Trust U/A 08/30/02, Thompson Living Trust U/A 05/31/02
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): Hightower Securities, Hightower Advisors
Respondent Lawyers(s): Matthew B. Henneman
Arbitrator(s): Richard M. Norman, Robert E. Jenks, Milton N. Gross
Hearing Site: Los Angeles, CA
| | Settlement |
| 10-03943 | 07/18/2013 | Claimant(s): Timothy Stephens
Claimant Lawyers(s): Matthew B. Henneman
Respondent(s): Walter Schneider, Barclays Capital Inc., Barclays Wealth
Respondent Lawyers(s): Jack D. Ballard
Arbitrator(s): Larry J. Sklar, Daniel J. Pagnano, Deirdre Renee Fuller
Hearing Site: Houston, TX
| | Amended Stipulated Award and Expungement |
| 09-01756 | 12/01/2010 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Matthew B. Henneman
Respondent(s): Bryan Sampson, Connie Heinen, Robert W. Baird & Co. Incorporated
Respondent Lawyers(s): Stephen M. Bales
Arbitrator(s): Rolf V. Aronsen, Verne R. Gray, Thomas J. Duff
Hearing Site: Des Moines, IA
| | $2,428,030 |
