| 16-01853 | 03/13/2018 | Claimant(s): Jennifer Marun, representing the estate
Claimant Lawyers(s): Rachel Vrana
Respondent(s): David Dodd, David Reicks, Elizabeth Zuniga, Citigroup Global Markets., Juan Cabanas, UBS Financial Services Inc.
Respondent Lawyers(s): Terry Ross
Arbitrator(s): Michael E. Rohde, Shawn Michael Spaulding, Charles H. Dick
Hearing Site: San Diego, CA
|  | Expungement |
| 11-01729 | 02/19/2013 | Claimant(s): Jaclyn Dukatt
Claimant Lawyers(s): James R. Amschler
Respondent(s): UBS Financial Services Inc., Matthew Fuller
Respondent Lawyers(s): Jonathan C. Schwartz
Arbitrator(s): Joann Peters, Michael E. Rohde, Beverly Jo McKemie
Hearing Site: Dallas, TX
| | $102,000 |
| 09-06348 | 06/30/2011 | Claimant(s): Joseph and Fionnvala Stockton JTWROS
Claimant Lawyers(s): Kerry L. McGill
Respondent(s): Fidelity Brokerage Services LLC, Thomas Scarbrough
Respondent Lawyers(s): Melissa Hegger Shea
Arbitrator(s): Michael E. Rohde
Hearing Site: Dallas, TX
| | Stipulated Award and Expungement |
| 09-02735 | 01/19/2010 | Claimant(s): Larry Turpin, Independent Executor of th
Claimant Lawyers(s): M. Michael McLarty
Respondent(s): LPL Financial Corporation, Williams Financial Services
Respondent Lawyers(s): N. Nancy Ghabai
Arbitrator(s): Michael E. Rohde
Hearing Site: Dallas, TX
| | $8,456 |
| 08-03250 | 07/08/2009 | Claimant(s): John F. Archer and Karin A. Archer JT
Claimant Lawyers(s): Richard H. Elliot
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Philip A. McLeod
Arbitrator(s): Michael E. Rohde, Donald Vincent Enright, C. Sumpter Logan
Hearing Site: Dallas, TX
| | $0 |
| 08-04433 | 06/10/2009 | Claimant(s): Jamie Page
Claimant Lawyers(s): Jamie K Page
Respondent(s): Steven Rosen
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Michael E. Rohde
Hearing Site: Dallas, TX
| | $12,300 |
| 08-00491 | 05/22/2009 | Claimant(s): Louis Velez
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Carl Burkhalter
Arbitrator(s): David B. Coates, Michael E. Rohde, Elton W. Chartrand
Hearing Site: Little Rock, AR
| | $75,000 |
