| 13-03327 | 12/15/2015 | Claimant(s): Dana Johnson, Malvin Johnson
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Philip I. McConnell
Hearing Site: Dallas, TX
|  | $10,600 |
| 15-01267 | 11/23/2015 | Claimant(s): Wunderlich Securities.
Claimant Lawyers(s): Mark D. Griffin
Respondent(s): April Morris-Spicer
Respondent Lawyers(s): April C. Morris-Spicer
Arbitrator(s): Charles A. Joplin
Hearing Site: Dallas, TX
| | |
| 14-03595 | 11/11/2015 | Claimant(s): Brian Schmidt
Claimant Lawyers(s): Brittany Weiner
Respondent(s): Fidelity Brokerage Services LLC, Strategic Advisers.
Respondent Lawyers(s): John Starnes
Arbitrator(s): Lawrence R. Maxwell
Hearing Site: Dallas, TX
| | |
| 13-03158 | 11/05/2015 | Claimant(s): Lawrence Rosenbloom, Bevrose Investments LP, Emmrose Investments LP, LNR Investments LP, Penrose Investments LP, Rosenbloom Charitable Rem Trust
Claimant Lawyers(s): Richard A. Lewins
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Terry R. Weiss
Arbitrator(s): Ann Blaess Kimball, Andrea U. Calve, Mary Elizabeth Skelnik
Hearing Site: Dallas, TX
| | $0 |
| 14-02745 | 10/15/2015 | Claimant(s): Ida Mae Shawn, Julie Fowler
Claimant Lawyers(s): Kevin Edmundson
Respondent(s): Cecil Ross, Raymond James Financial Services.
Respondent Lawyers(s): Jack D. Ballard
Arbitrator(s): Harry J Saginaw, Keith L. Saunders, Jill M. Zacha
Hearing Site: Dallas, TX
| | $100,000 |
| 15-00392 | 10/05/2015 | Claimant(s): Michael Magruder
Claimant Lawyers(s): David E. Robbins
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Nuviah Shirazi
Arbitrator(s): Ann Blaess Kimball, Stephen Ronald Crissey, Eric Ross Cromartie
Hearing Site: Dallas, TX
| | |
| 15-00977 | 09/22/2015 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Alan S. Brodherson
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): C. Sumpter Logan
Hearing Site: Dallas, TX
| | |
| 14-00446 | 09/09/2015 | Claimant(s): Janna Yarbrough
Claimant Lawyers(s): Richard H. Elliott
Respondent(s): Gary Brownfield, Commonwealth Financial Network
Respondent Lawyers(s): Michael G. Brown
Arbitrator(s): William L. Cravens, Richard C. Corse, Lawrence R. Maxwell
Hearing Site: Dallas, TX
| | $65,250 |
| 15-01325 | 09/01/2015 | Claimant(s): Ameriprise Financial Services., Scott Miller
Claimant Lawyers(s): Danya W. Blair
Respondent(s): Jeremy Walker
Respondent Lawyers(s): Brian D. Esenwein
Arbitrator(s): Louis J. Weber, Robert L. Yeager, Darryl Lipinski
Hearing Site: Dallas, TX
| | |
| 15-00216 | 08/18/2015 | Claimant(s): Lizabeth Smith
Claimant Lawyers(s): David Neuman
Respondent(s): Century Securities Associates.
Respondent Lawyers(s): James C. Browning
Arbitrator(s): Robert L. Yeager
Hearing Site: Dallas, TX
| | $0 |
