| 12-02416 | 11/19/2013 | Claimant(s): Betty Gallagher, Patrick Gallagher
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Susan E. Sheely
Arbitrator(s): Patricia B. Lehtola, Anita M. Jean, Gerald Ray Waterston
Hearing Site: Dallas, TX
|  | Expungement |
| 11-04036 | 06/26/2013 | Claimant(s): Pansy Yankey
Claimant Lawyers(s): Nathan J Schwartz
Respondent(s): Southwest Securities.
Respondent Lawyers(s): Clint A. Corrie
Arbitrator(s): Phillip Lee Scheldt, Daniel A. Kile, Patricia B. Lehtola
Hearing Site: Dallas, TX
| | Expungement |
| 12-02081 | 06/18/2013 | Claimant(s): Harvey Loomstein Irrevocable Trust, Joseph Loomstein Irr Tr, The Mildred Loomstein GST Exempt Irrv Tr, The Mildred Loomstein GST Non-Exmpt Tr
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Jeffrey Stern, FSC Securities Corporation
Respondent Lawyers(s): Jason A. Richardson, Justin Sacca
Arbitrator(s): Louis J. Weber, Patricia B. Lehtola, Martha Z. Ralstin
Hearing Site: Dallas, TX
| | $0 |
| 11-03651 | 05/30/2013 | Claimant(s): PR Liquidating Trust
Claimant Lawyers(s): Andrew B. Sommerman
Respondent(s): WFP Securities
Respondent Lawyers(s): John Schooler
Arbitrator(s): Henry Hermann, Patricia B. Lehtola, Edward J. Lynch
Hearing Site: Dallas, TX
| | $18,577,000 |
| 09-06203 | 06/16/2011 | Claimant(s): John Colley, LaNita Colley
Claimant Lawyers(s): W. David Carter
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Meredith A. Cunningham
Arbitrator(s): Lewis W. Pollok, Patricia B. Lehtola, Brian D. Esenwein, JD, CPA
Hearing Site: Dallas, TX
| | $73,000 |
| 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 |
| 07-01491 | 08/25/2009 | Claimant(s): Brad Phalen, Chatt Cottle, Crystal Phalen, Jennifer Cottle
Claimant Lawyers(s): Scott Heselmeyer
Respondent(s): Charles Carter, James Alldredge, World Group Securities.
Respondent Lawyers(s): Amy C. Welborn, David B. Dyer, Robert G. Brunton
Arbitrator(s): Robert R. Nursey, Synthia L. Taylor, Patricia B. Lehtola
Hearing Site: Dallas, TX
| | Expungement |
| 04-01862 | 08/27/2007 | Claimant(s): Virginia Kent, Louis and Virginia Kent
Claimant Lawyers(s): Martyn B. Hill
Respondent(s): Louis Kent, M. Bowles, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Alan S. Rafterman, Martyn B. Hill
Arbitrator(s): Raymond E. Jennison, Carol A. Freeland, Patricia B. Lehtola
Hearing Site: Dallas, TX
| | $0 |
