| 13-02927 | 03/08/2016 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Matthew B. Henneman
Respondent(s): Richard Hill
Respondent Lawyers(s): Richard Wayne Hill
Arbitrator(s): Arthur H. Geffen, Mark A. Myers, Edward J. Lynch
Hearing Site: Dallas, TX
| | |
| 13-01406 | 03/08/2016 | Claimant(s): Stephanie Cover Revocable Trust, Sarah, The Stephanie Cover Rev. Trust
Claimant Lawyers(s): Kristine Arlitt, William D. Crist
Respondent(s): Chase Investment Services Corp.
Respondent Lawyers(s): Ronald D. Smith
Arbitrator(s): James P. Kinkade, Andrea U. Calve, Sherrie R. Abney
Hearing Site: Dallas, TX
|  | $0 |
| 14-02566 | 02/23/2016 | Claimant(s): Edward Andrew, Mark Hepworth
Claimant Lawyers(s): Kim Thorne, Scott A. Stewart
Respondent(s): Southwest Securities.
Respondent Lawyers(s): John T. Gerhart
Arbitrator(s): Daniel C. Dooley, Henry J. Ackels, Joseph Neal Richardson
Hearing Site: Dallas, TX
| | |
| 15-00060 | 01/15/2016 | Claimant(s): Sharon Boyd
Claimant Lawyers(s): Sharon K. Boyd
Respondent(s): Morgan Stanley DW Inc., Todd Leake
Respondent Lawyers(s): Christine A. Kendrick, Jeffrey I. Nicodemus
Arbitrator(s): Ann Blaess Kimball, Lewis W. Pollok, C. Sumpter Logan
Hearing Site: Dallas, TX
| | $0 |
| 15-00806 | 01/15/2016 | Claimant(s): David Kabel, Julie Kabel
Claimant Lawyers(s): Julie Kabel
Respondent(s): Helen Wathen, Michael Armondo, Merrill Lynch Pierce Fenner & Smith Inc., Travis Taylor
Respondent Lawyers(s): Roxanne Sheehan
Arbitrator(s): Robert J. Gregory
Hearing Site: Dallas, TX
| | $0 |
| 15-00029 | 12/24/2015 | Claimant(s): Jason Taylor
Claimant Lawyers(s): Willard Knox
Respondent(s): Barclays Capital Inc.
Respondent Lawyers(s): Donald R. Littlefield
Arbitrator(s): Harry J Saginaw
Hearing Site: Dallas, TX
| | |
| 15-01458 | 12/23/2015 | Claimant(s): John Kever
Claimant Lawyers(s): Susan A. Logsdon
Respondent(s): Bailey Bryan
Respondent Lawyers(s): Bailey Bryan
Arbitrator(s): G. Maynard Green, Larry N. Quinn, Gerald Ray Waterston
Hearing Site: Dallas, TX
| | Expungement |
| 14-00644 | 12/22/2015 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Brian S. Hormozi
Respondent(s): Scott Mills
Respondent Lawyers(s): Scott M. Garelick
Arbitrator(s): Philip I. McConnell, Richard C. Corse, G. Maynard Green
Hearing Site: Dallas, TX
| | |
| 15-01985 | 12/17/2015 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Scott A. La Porta
Respondent(s): Larry Boggs
Respondent Lawyers(s): Larry M. Boggs
Arbitrator(s): Jeff Abrams
Hearing Site: Dallas, TX
| | |
| 13-02838 | 12/17/2015 | Claimant(s): George Shelton
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Andrew R. Park
Arbitrator(s): Maxel (Bud) B. Silverberg, James L. Goble, Jeffrey Richard Chiappetta
Hearing Site: Dallas, TX
| | Expungement |
