| 12-01202 | 06/04/2014 | Claimant(s): Patricia Costello, Richard Costello, Traci Costello, The Estate of Mary Pooley, Patricia Costello IRA, Richard Costello IRA
Claimant Lawyers(s): Samuel B. Edwards
Respondent(s): WFG Investments.
Respondent Lawyers(s): Stefan R. Dandelles
Arbitrator(s): Roland D. Freeman, Andrea U. Calve, Franklin Lewis Broyles
Hearing Site: Dallas, TX
| | |
| 12-03271 | 06/04/2014 | Claimant(s): Katharina Taylor, Maxwell Taylor
Claimant Lawyers(s): Jahan K Manasseh
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): David J. Freniere
Arbitrator(s): Valynda A. Ewton, Arthur H. Geffen, William E. Hartsfield
Hearing Site: Dallas, TX
|  | Expungement |
| 13-01277 | 05/07/2014 | Claimant(s): Timothy Weber
Claimant Lawyers(s): Robert M. Thornton
Respondent(s): Goldman, Sachs and Company, The Goldman Sachs Group.
Respondent Lawyers(s): Robin D. Fessel
Arbitrator(s): Thomas M. Campbell, Lawrence R. Maxwell, Jay M. Vogelson
Hearing Site: Dallas, TX
| | |
| 13-03009 | 05/01/2014 | Claimant(s): Lucy Bauman
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Deirdre Wolff
Arbitrator(s): Arthur H. Geffen
Hearing Site: Dallas, TX
| | $49,999 |
| 12-04060 | 04/21/2014 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Jack D. Ballard
Respondent(s): Bill Callis
Respondent Lawyers(s): Kenneth A. Zimmern
Arbitrator(s): James M. Tipton, William D. Connally, Philip I. McConnell
Hearing Site: Dallas, TX
| | |
| 12-00016 | 04/01/2014 | Claimant(s): Jay Dickens, Command Decisions., New Territory Investments, Ltd
Claimant Lawyers(s): Bryan T. Forman
Respondent(s): Ricky Mullins, Guardian Direct Energy Programs., Guardian Oil & Gas ., M & W Financial Inc.
Respondent Lawyers(s): Rick Mullins
Arbitrator(s): R. Theodore Moock, Ann Blaess Kimball, Robert Jerry Strader
Hearing Site: Dallas, TX
| | Stipulated Award |
| 13-02902 | 03/27/2014 | Claimant(s): William Missimer, III
Claimant Lawyers(s): William M. Mann
Respondent(s): Charles Corbett
Respondent Lawyers(s): Charles E. Corbett
Arbitrator(s): David A. Schuler
Hearing Site: Dallas, TX
| | Expungement |
| 13-02652 | 03/20/2014 | Claimant(s): Coaching for Emotional Intelligence PLLC
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Gina Shlaferman
Arbitrator(s): Jeff Abrams
Hearing Site: Dallas, TX
| | $425 |
| 13-02487 | 03/19/2014 | Claimant(s): John Edens
Claimant Lawyers(s): John L. Edens
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): Robert J. Gregory
Hearing Site: Dallas, TX
| | $0 |
| 12-03559 | 03/13/2014 | Claimant(s): Joe Hernandez
Claimant Lawyers(s): Joe Hernandez
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Teri L. Danish
Arbitrator(s): Ann Blaess Kimball
Hearing Site: Dallas, TX
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