| 15-03427 | 02/09/2017 | Claimant(s): June Burns, Perry Burns
Claimant Lawyers(s): David P. Meyer
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): Chris Lazarini
Arbitrator(s): James W. Kerr
Hearing Site: Dallas, TX
|  | $117,350 |
| 16-00078 | 02/09/2017 | Claimant(s): Marcia Barfield IRA, Norman J. Barfield IRA
Claimant Lawyers(s): Kirk G. Smith
Respondent(s): IMS Securities.
Respondent Lawyers(s): Martin S. Schexnayder
Arbitrator(s): Douglas Wade Carvell, Joseph Neal Richardson, Richard Thomas Huston
Hearing Site: Dallas, TX
| | Expungement |
| 16-02701 | 02/01/2017 | Claimant(s): Michael Magruder
Claimant Lawyers(s): David E. Robbins
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Nuviah Shirazi
Arbitrator(s): Dineo Coleman Gary, Eric Ross Cromartie, Douglas Ken Rudley
Hearing Site: Dallas, TX
| | |
| 15-03015 | 01/30/2017 | Claimant(s): Edward Butowsky
Claimant Lawyers(s): Shauna Izadi
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Lesley V. Tepper
Arbitrator(s): Jeff Abrams, C. Sumpter Logan, Larry N. Quinn
Hearing Site: Dallas, TX
| | |
| 16-01662 | 01/27/2017 | Claimant(s): Matthew Lowe
Claimant Lawyers(s): David E. Robbins
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Thomas Kopshever
Arbitrator(s): Jeff Abrams, Linda B. Kelly, Edward S. Koppman
Hearing Site: Dallas, TX
| | |
| 16-02296 | 12/22/2016 | Claimant(s): Roy Snaer
Claimant Lawyers(s): Roy Joseph Snaer
Respondent(s): Lucy Gore, Edward Jones
Respondent Lawyers(s): Robert J. Osdieck
Arbitrator(s): C. Sumpter Logan
Hearing Site: Dallas, TX
| | $163 |
| 16-01391 | 12/19/2016 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s): Jay Davis
Respondent Lawyers(s): Jay Robert Davis
Arbitrator(s): Ronald G. Johnson, C. Sumpter Logan, Edward J. Lynch
Hearing Site: Dallas, TX
| | |
| 16-01279 | 11/29/2016 | Claimant(s): Diane Back
Claimant Lawyers(s): Adam S. Tracy
Respondent(s): JP Morgan Institutional Investments Inc.
Respondent Lawyers(s): Luis F. Calvo
Arbitrator(s): Joseph Neal Richardson
Hearing Site: Dallas, TX
| | $0 |
| 15-01035 | 11/16/2016 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Scott A. La Porta
Respondent(s): Steven Owen
Respondent Lawyers(s): Steven H. Owen
Arbitrator(s): G. Maynard Green
Hearing Site: Dallas, TX
| | |
| 11-03649 | 11/14/2016 | Claimant(s): PR Liquidating Trust
Claimant Lawyers(s): Andrew B. Sommerman
Respondent(s): Dewaay Financial Network
Respondent Lawyers(s): Robbie Howe
Arbitrator(s): R. Theodore Moock, Mark L. Williams, Jay M. Vogelson
Hearing Site: Dallas, TX
| | $3,206,070 |
