| 14-00698 | 07/29/2016 | Claimant(s): Heath Dowell
Claimant Lawyers(s): W.D. Masterson
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jannell M. Ahnert
Arbitrator(s): Maxel (Bud) B. Silverberg
Hearing Site: Dallas, TX
| | |
| 15-02333 | 07/21/2016 | Claimant(s): Betty Johnson
Claimant Lawyers(s): Betty L. Johnson
Respondent(s): Transamerica Financial Advisors
Respondent Lawyers(s): Susan D. Duff
Arbitrator(s): Brian D. Esenwein, JD, CPA
Hearing Site: Dallas, TX
| | |
| 15-02538 | 07/08/2016 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Deirdre Wolff
Respondent(s): Christopher Love
Respondent Lawyers(s): Christopher Lawrence Love
Arbitrator(s): G. Maynard Green
Hearing Site: Dallas, TX
| | |
| 15-01537 | 04/21/2016 | Claimant(s): Francis Freeman
Claimant Lawyers(s): Vincent J. Booth
Respondent(s): Wells Fargo Advisors, David Matty
Respondent Lawyers(s): Nuviah Shirazi
Arbitrator(s): Lawrence R. Maxwell, Coleman Robert Perry, Michael S. Yauch
Hearing Site: Dallas, TX
|  | $0 |
| 14-02864 | 04/05/2016 | Claimant(s): Ashley Lowe, James "Russell" Fregia, Larry Lowe, Laura Lowe, Maxine Fregia, Melissa Prasek, Mike Prasek, Nathan Lowe, Cycast LTD, El Rey Salt Company.
Claimant Lawyers(s): Andrew B. Sommerman
Respondent(s): Southwest Securities., Wade Lawrence
Respondent Lawyers(s): Corbet F. Bryant, Wade Lawrence
Arbitrator(s):
Hearing Site: Dallas, TX
| | $167,737 |
| 15-03182 | 04/04/2016 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Vanessa Hoffmann
Respondent(s): Wesley Shaw
Respondent Lawyers(s): Wesley Wayne Shaw
Arbitrator(s): C. Sumpter Logan
Hearing Site: Dallas, TX
| | |
| 14-01760 | 03/23/2016 | Claimant(s): Christus Health
Claimant Lawyers(s): Jason W. Burge
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Andrew J. Ehrlich
Arbitrator(s):
Hearing Site: Dallas, TX
| | $0 |
| 15-00347 | 03/21/2016 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Brian Hormozi
Respondent(s): Michael Martin
Respondent Lawyers(s): Michael Martin
Arbitrator(s): Patricia B. Lehtola
Hearing Site: Dallas, TX
| | |
| 15-00669 | 03/21/2016 | Claimant(s): Castaway LP
Claimant Lawyers(s): Richard A. Lewins
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Melissa Muehlfeld
Arbitrator(s): Phillip Lee Scheldt, G. Maynard Green, Robert J. Gregory
Hearing Site: Dallas, TX
| | $0 |
| 14-02286 | 03/18/2016 | Claimant(s): Carol Craig
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Southwest Securities., John Coyle
Respondent Lawyers(s): Clint A. Corrie
Arbitrator(s): Robert J. Gregory, Gerald Ray Waterston, Eric Ross Cromartie
Hearing Site: Dallas, TX
| | $2,500 |
