| 15-02709 | 11/28/2017 | Claimant(s): Elaine Marshall, Stephen Cook
Claimant Lawyers(s): T. Ray Guy
Respondent(s): Preston Marshall, Frost Bank, Frost Brokerage Services.
Respondent Lawyers(s): Rupert F. Barron, Thomas R. Ajamie
Arbitrator(s): Robert L. Yeager, Edward J. Lynch, Edward S. Koppman
Hearing Site: Dallas, TX
|  | $0 |
| 17-01458 | 11/17/2017 | Claimant(s): Brett Hart
Claimant Lawyers(s): Joshua Kons
Respondent(s): James Pecoraro
Respondent Lawyers(s): Michael Utilla
Arbitrator(s): Eric Ross Cromartie
Hearing Site: Dallas, TX
| | Expungement |
| 17-01378 | 11/14/2017 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Robert Christie
Respondent(s): Matthew Bailey
Respondent Lawyers(s): Matthew Wayne Bailey
Arbitrator(s): Jeff Abrams
Hearing Site: Dallas, TX
| | |
| 16-02667 | 10/13/2017 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s): Sandra Hudgins
Respondent Lawyers(s): Sandra Joseph Hudgins
Arbitrator(s): David A. Schuler, Joseph Neal Richardson, Leon Hilary Horne
Hearing Site: Dallas, TX
| | |
| 16-01948 | 09/20/2017 | Claimant(s): UBS Financial Services Inc., UBS Credit Corp.
Claimant Lawyers(s): Michael T. Roche
Respondent(s): Carlos Rodriguez
Respondent Lawyers(s): Carlos A. Rodriguez
Arbitrator(s): Edward J. Lynch
Hearing Site: Dallas, TX
| | |
| 16-03022 | 09/19/2017 | Claimant(s): Smith Walker
Claimant Lawyers(s): David A. Walton
Respondent(s): E*Trade Securities LLC, E*Trade Clearing LLC
Respondent Lawyers(s): Meredith Hoffman, Esq.
Arbitrator(s): G. Maynard Green, Robert J. Gregory, Joseph Neal Richardson
Hearing Site: Dallas, TX
| | $0 |
| 16-01883 | 09/08/2017 | Claimant(s): Ken Ridenour
Claimant Lawyers(s): Robert Nass-Worthington
Respondent(s): Dean Kennedy, William Stapleton, Texakoma Financial.
Respondent Lawyers(s): Barry F. Cannaday, Frank L. Broyles
Arbitrator(s): R. Lee Britton Jr., Mark C. Watler, Charles W. Adams
Hearing Site: Dallas, TX
| | Expungement |
| 16-01949 | 08/03/2017 | Claimant(s): Ellen Robertson
Claimant Lawyers(s): Richard H. Elliott
Respondent(s): Morgan Stanley, James Harvey
Respondent Lawyers(s): Jeffrey Palmer
Arbitrator(s): Robert C. Denenberg, David A. Schuler, James Douglas Haigh
Hearing Site: Dallas, TX
| | $425 |
| 14-03467 | 07/14/2017 | Claimant(s): Raymond, James & Associates.
Claimant Lawyers(s): Jordan D. Maglich
Respondent(s): Brent Yarbrough, Morgan Keegan & Company
Respondent Lawyers(s): Jordan D. Maglich, Michael G. Brown
Arbitrator(s): Arthur H. Geffen, Ann Blaess Kimball, William Cavalier
Hearing Site: Dallas, TX
| | |
| 16-02472 | 07/11/2017 | Claimant(s): Morgan Stanley, MSSB FA Notes Holdings
Claimant Lawyers(s): Matthew B. Henneman
Respondent(s): Daniel Gunderson
Respondent Lawyers(s): Daniel J. Gunderson
Arbitrator(s): Arthur L. Tepper
Hearing Site: Dallas, TX
| | |
