| 10-05784 | 09/26/2014 | Claimant(s): West Texas National Bank
Claimant Lawyers(s): John J. Schirger
Respondent(s): Shay Financial Services.
Respondent Lawyers(s): Mark R. McDonald
Arbitrator(s): Kurt L. Smith, Andrea U. Calve, James W. Kerr
Hearing Site: Dallas, TX
|  | $0 |
| 13-03021 | 09/23/2014 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Jonathan Berg
Respondent(s): Karla Bounds
Respondent Lawyers(s): Karla Renee Bounds
Arbitrator(s): Bill M. Lamoreaux
Hearing Site: Dallas, TX
| | |
| 13-02451 | 09/22/2014 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael Braun
Respondent(s): David Chun
Respondent Lawyers(s): David W. Chun
Arbitrator(s): Jeff Abrams
Hearing Site: Dallas, TX
| | |
| 11-04601 | 09/05/2014 | Claimant(s): Estate of Roberta A. Hott
Claimant Lawyers(s): Bobby M. Rubarts
Respondent(s): Southwest Securities., Mark Hepworth, S&P Investors.
Respondent Lawyers(s): Andrew T. Hepworth, John T. Gerhart
Arbitrator(s): Robert L. Yeager, Jay M. Vogelson, Kerry Wallace Bowman
Hearing Site: Dallas, TX
| | $0 |
| 12-03896 | 08/22/2014 | Claimant(s): Alison McIntosh, Arthur McIntosh
Claimant Lawyers(s): J. Michael Ellis
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Deirdre Wolff
Arbitrator(s): Philip I. McConnell, Maryanne M. Esser, Dianne Connally Betts
Hearing Site: Dallas, TX
| | $0 |
| 13-02027 | 08/21/2014 | Claimant(s): Kari Taylor
Claimant Lawyers(s): Kari Taylor
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): John Starnes
Arbitrator(s): Diane Muse, Phillip Lee Scheldt, Daniel A. Kile
Hearing Site: Dallas, TX
| | |
| 13-03108 | 08/18/2014 | Claimant(s): Milo H. Segner, Jr. as Trustee of the PR
Claimant Lawyers(s): Andrew Sommerman
Respondent(s): Workman Securities Corporation
Respondent Lawyers(s): Christopher P Parrington
Arbitrator(s): William E. Hartsfield
Hearing Site: Dallas, TX
| | $11,570,000 |
| 13-03356 | 06/16/2014 | Claimant(s): Beverly Gimpelson, Stanley Gimpelson
Claimant Lawyers(s): Carol Morse
Respondent(s): Brian Leeton, Wells Fargo Advisors, Matt Paul
Respondent Lawyers(s): Nuviah Shirazi
Arbitrator(s): C. Sumpter Logan
Hearing Site: Dallas, TX
| | $0 |
| 14-00146 | 06/10/2014 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Christopher Griesmeyer
Respondent(s): Brandon Cortez
Respondent Lawyers(s): Brandon Matthew Cortez
Arbitrator(s): Edward J. Lynch
Hearing Site: Dallas, TX
| | |
| 12-02734 | 06/09/2014 | Claimant(s): Kaylyn Kelsey Kerr 1989 Trust, Kaylyn Kerr Irrevocable Trust
Claimant Lawyers(s): Bryan Forman
Respondent(s): Donald Donahue, John Mahoney, Suzanne Gavin, 1st Worldwide Financial Partners, Llc
Respondent Lawyers(s): John F. Mahoney, Michael Schwartzberg, Suzanne Gavin Mahoney
Arbitrator(s): William E. Hartsfield, Robert L. Chisolm, Russell Phillips Gandy
Hearing Site: Dallas, TX
| | Expungement |
