| 11-02651 | 06/19/2013 | Claimant(s): Southwest Securities.
Claimant Lawyers(s): Richard D. Pullman
Respondent(s): Bruce Lewin
Respondent Lawyers(s): Bruce Lewin
Arbitrator(s): Donald Vincent Enright, G. Maynard Green, C. Sumpter Logan
Hearing Site: Dallas, TX
| | |
| 11-03606 | 01/17/2013 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Brian R. Mills
Respondent(s): John Hackbarth
Respondent Lawyers(s): John Melton Hackbarth
Arbitrator(s): C. Sumpter Logan
Hearing Site: Birmingham, AL
| | |
| 11-02519 | 01/04/2013 | Claimant(s): Bonny Wammack
Claimant Lawyers(s): J. Mitchell Little
Respondent(s): Evan Esselman, Edward Jones
Respondent Lawyers(s): Donald R. Littlefield
Arbitrator(s): William L. Cravens, C. Sumpter Logan, Edward J. Lynch
Hearing Site: Dallas, TX
|  | Expungement |
| 12-01483 | 12/19/2012 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Audette Paul Morales
Respondent(s): Big Swell f/k/a Tovar., Nathan Phillip Friedlander SEP-IRA, Nathan & Joan Friedlander Joint Tenant, Harris Friedland Trust dd 7/25/1989
Respondent Lawyers(s): Thomas F. Shine
Arbitrator(s): C. Sumpter Logan, David Freeman
Hearing Site: Birmingham, AL
| | Expungement |
| 10-04765 | 09/14/2012 | Claimant(s): Craig Dyas, Jacqueline Dyas
Claimant Lawyers(s): Hugh N. Lyle
Respondent(s): John Ross, Morgan Stanley, Rodney Fallin
Respondent Lawyers(s): Christine A. Kendrick, Donald R. Littlefield
Arbitrator(s): Roland D. Freeman, C. Sumpter Logan, Robert Jerry Strader
Hearing Site: Dallas, TX
| | Expungement |
| 11-02298 | 09/07/2012 | Claimant(s): David Elias 2002 Trust, Helene R. Elias 2002 Trust
Claimant Lawyers(s): Kevin J. Deloatch
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Patrick Mahoney
Arbitrator(s): C. Sumpter Logan, Neil Harvey Smith, Brock Bingham Gordon
Hearing Site: Birmingham, AL
| | Expungement |
| 10-00693 | 06/02/2011 | Claimant(s): Clayton Krause, Ila Krause
Claimant Lawyers(s): Clayton K. Krause
Respondent(s): FMSBonds.
Respondent Lawyers(s): Dennis A. Richard
Arbitrator(s): C. Sumpter Logan
Hearing Site: Dallas, TX
| | $0 |
| 09-04373 | 05/07/2010 | Claimant(s): James R. Burns, IRA
Claimant Lawyers(s): James A Dunlap
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): John-David H. Thomas
Arbitrator(s): C. Sumpter Logan
Hearing Site: Birmingham, AL
| | $0 |
| 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 |
| 06-05369 | 02/05/2008 | Claimant(s): Penson Financial Services.
Claimant Lawyers(s): Will S. Montgomery
Respondent(s): MISR Securities International
Respondent Lawyers(s): Debra G. Speyer
Arbitrator(s): Charles A. Joplin, C. Sumpter Logan, Larry N. Quinn
Hearing Site: Dallas, TX
| | $0 |
