| 11-00472 | 11/27/2013 | Claimant(s): Karl Steffes, Susan Steffes, Karl Steffes IRA Rollover
Claimant Lawyers(s): Seth E. Lipner
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): Philip I. McConnell, Charles S. Chester, Brian James Tagtmeier
Hearing Site: Houston, TX
|  | Expungement |
| 09-02124 | 04/08/2011 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Jack D. Ballard
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): Joseph A. Dougherty
Arbitrator(s): Frank M. Romano, William M. Lacy, Charles S. Chester
Hearing Site: Houston, TX
| | |
| 07-01043 | 02/09/2011 | Claimant(s): Jean Hughes
Claimant Lawyers(s): Hal K. Gillespie
Respondent(s): Cantor Fitzgerald & Co.
Respondent Lawyers(s): Katherine E. Flanagan
Arbitrator(s): Preston A. Trimble, Thomas A. Martin, Charles S. Chester
Hearing Site: Houston, TX
| | |
| 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 |
| 07-02520 | 01/07/2009 | Claimant(s): T. Bradley Sprague & Jeannette Sprague
Claimant Lawyers(s): Douglass D. Hearne
Respondent(s): Steven Hill, Laidlaw & Company, Ltd.
Respondent Lawyers(s): C. Mark Stratton
Arbitrator(s): Jeff Kilgore, Charles S. Chester, Carol Frances Relihan
Hearing Site: Houston, TX
| | $297,051 |
| 04-08590 | 12/03/2008 | Claimant(s): Kenneth Dean
Claimant Lawyers(s): Kenneth Eugene Dean
Respondent(s): Davis Denny, UBS Financial Services Inc., Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Angela A. Turiano, Davis M. Denny, Randi Perry Spallina
Arbitrator(s): Michael Hendryx, Charles S. Chester, Sandra Lea McNally
Hearing Site: Houston, TX
| | $0 |
| 03-00077 | 01/29/2008 | Claimant(s): Barbara Gordon
Claimant Lawyers(s): Jakes Jordaan
Respondent(s): David Komansky, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Joel R. Sharp
Arbitrator(s): Thomas D. Nagle, Charles S. Chester
Hearing Site: Houston, TX
| | $0 |
