| 14-02693 | 04/23/2018 | Claimant(s): Mark Pogue
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Richard C. Szuch
Arbitrator(s): William E. Hartsfield, Jeff Abrams, Russell Phillips Gandy
Hearing Site: Dallas, TX
|  | Expungement |
| 17-01226 | 04/09/2018 | Claimant(s): Jeremy Walker
Claimant Lawyers(s): Brian D. Esenwein
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Danya W. Blair
Arbitrator(s): Kenneth R. Hanks, G. Maynard Green, Robert J. Gregory
Hearing Site: Dallas, TX
| | |
| 17-02854 | 03/29/2018 | Claimant(s): Kent Snodgrass
Claimant Lawyers(s): Steven J. Berry
Respondent(s): Hilltop Securities Inc.
Respondent Lawyers(s): Jonathan D. Neerman
Arbitrator(s): Jeff Abrams
Hearing Site: Dallas, TX
| | |
| 17-02009 | 03/21/2018 | Claimant(s): Christopher Cervantes
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): Joseph Neal Richardson
Hearing Site: Dallas, TX
| | |
| 17-01708 | 03/15/2018 | Claimant(s): Norman Coates
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Morgan Stanley DW Inc., Legg Mason Wood Walker, Capital One Investments
Respondent Lawyers(s): Chan Nam, Todd Ratner
Arbitrator(s): David A. Schuler
Hearing Site: Dallas, TX
| | |
| 17-00711 | 01/26/2018 | Claimant(s): Morgan Stanley, Morgan Stanley FA Note Holding LLC
Claimant Lawyers(s): Bruce W. Bowman
Respondent(s): Scott Hartman
Respondent Lawyers(s): Scott William Hartman
Arbitrator(s): C. Sumpter Logan
Hearing Site: Dallas, TX
| | |
| 17-03119 | 01/05/2018 | Claimant(s): Michael C. Seamands
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Craig Vollono
Arbitrator(s): Eric Ross Cromartie
Hearing Site: Dallas, TX
| | |
| 17-02976 | 12/26/2017 | Claimant(s): Michael A. Sabota
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Craig A. Vollono
Arbitrator(s): C. Sumpter Logan
Hearing Site: Dallas, TX
| | |
| 17-02165 | 12/15/2017 | Claimant(s): Monda Hanna
Claimant Lawyers(s): David I. Hantman
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Ralph Izzo
Arbitrator(s): David A. Schuler
Hearing Site: Dallas, TX
| | |
| 17-01117 | 12/06/2017 | Claimant(s): Jeremy Bardin
Claimant Lawyers(s): James G. Lundy
Respondent(s): Gainsco Inc., MGA Insurance Company Inc.
Respondent Lawyers(s): Drew Nachowiak
Arbitrator(s): Dineo Coleman Gary, Joseph Neal Richardson, Charles Robert Elhoff
Hearing Site: Dallas, TX
| | Expungement |
