| 15-00977 | 09/22/2015 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Alan S. Brodherson
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): C. Sumpter Logan
Hearing Site: Dallas, TX
| | |
| 15-00683 | 08/11/2015 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Steven Satter
Respondent(s): Kenneth Comstock
Respondent Lawyers(s): Kenneth Alan Comstock
Arbitrator(s): C. Sumpter Logan
Hearing Site: Dallas, TX
| | |
| 14-02755 | 05/07/2015 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Jack D. Ballard
Respondent(s): David Palmer
Respondent Lawyers(s): David Palmer
Arbitrator(s): C. Sumpter Logan
Hearing Site: Dallas, TX
| | |
| 14-01728 | 04/02/2015 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Audette P Morales
Respondent(s): John l. Norris Rollover, Vivianne Norris IRA Rollover, John L. Norris and Vivianne Norris JT TE
Respondent Lawyers(s): Thomas F. Shine
Arbitrator(s): Coleman Robert Perry, C. Sumpter Logan, David Freeman
Hearing Site: Birmingham, AL
| | Expungement |
| 13-02775 | 04/01/2015 | Claimant(s): The Van Huss Family Trust
Claimant Lawyers(s): Curtis Van Huss
Respondent(s): Edward Jones
Respondent Lawyers(s): Justin J. D'Elia
Arbitrator(s): Louis J. Weber, C. Sumpter Logan, Clement Osimetha
Hearing Site: Dallas, TX
|  | Expungement |
| 14-00377 | 11/25/2014 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Mary Jo Hamill Cantu
Respondent(s): Sidney Banks
Respondent Lawyers(s): Sidney Eugene Banks
Arbitrator(s): C. Sumpter Logan
Hearing Site: Little Rock, AR
| | |
| 13-03356 | 06/16/2014 | Claimant(s): Beverly Gimpelson, Stanley Gimpelson
Claimant Lawyers(s): Carol Morse
Respondent(s): Brian Leeton, Wells Fargo Advisors, Matt Paul
Respondent Lawyers(s): Nuviah Shirazi
Arbitrator(s): C. Sumpter Logan
Hearing Site: Dallas, TX
| | $0 |
| 13-02153 | 03/11/2014 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Jonathan Berg
Respondent(s): Derek Forrest
Respondent Lawyers(s): Derek R. Forrest
Arbitrator(s): C. Sumpter Logan
Hearing Site: Oklahoma City, OK
| | |
| 13-00534 | 02/10/2014 | Claimant(s): William Fitzpatrick
Claimant Lawyers(s): Richard A. Lewins
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Susan E. Sheely
Arbitrator(s): Maxel (Bud) B. Silverberg, C. Sumpter Logan, George Young Banks
Hearing Site: Dallas, TX
| | $0 |
| 12-00388 | 10/03/2013 | Claimant(s): Neeley Chancellor, Neeley Morris Chancellor Trust
Claimant Lawyers(s): Bryan T. Forman
Respondent(s): LPL Financial LLC, Jimmy Holcomb, Richard Stone, Edward Jones
Respondent Lawyers(s): Charles A. Hammaker
Arbitrator(s): C. Sumpter Logan, Paul L. Salzberger, Robert Jerry Strader
Hearing Site: Dallas, TX
| | Expungement |
