| 13-02350 | 03/13/2014 | Claimant(s): Sterne Agee & Leach.
Claimant Lawyers(s): Kelly Brennan Bolvig
Respondent(s): James Schwalbe
Respondent Lawyers(s): James Schwalbe
Arbitrator(s): Charles A. Joplin
Hearing Site: Dallas, TX
| | |
| 10-05180 | 02/25/2014 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Allan Watt, Gloria Keimer, Lois Powell, Paula Czapko, Robert Ratcliff
Respondent Lawyers(s): Diane C. Fischer, Robert L. Herskovits
Arbitrator(s): Earle J. Schwarz, Robert E. Treadaway, Eric Ross Cromartie
Hearing Site: Dallas, TX
| | |
| 12-01445 | 02/14/2014 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Christopher H. Tovar
Respondent(s): Wade Lawrence
Respondent Lawyers(s): Wade James Lawrence
Arbitrator(s): Mark L. Williams, Franklin Lewis Broyles, Joseph Anthony Girgenti
Hearing Site: Dallas, TX
| | |
| 12-02487 | 02/11/2014 | Claimant(s): Brenda Steffy
Claimant Lawyers(s): Wesley J. Cooper
Respondent(s): Kurt Kerrigan
Respondent Lawyers(s): Daniel D. Tostrud
Arbitrator(s): Sheldon F. Schobert, Andrea U. Calve, Lawrence Frederick Ranallo
Hearing Site: Dallas, TX
|  | Expungement |
| 13-00534 | 02/10/2014 | Claimant(s): William Fitzpatrick
Claimant Lawyers(s): Richard A. Lewins
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Susan E. Sheely
Arbitrator(s): Maxel (Bud) B. Silverberg, C. Sumpter Logan, George Young Banks
Hearing Site: Dallas, TX
| | $0 |
| 13-01751 | 01/16/2014 | Claimant(s): James Hintz
Claimant Lawyers(s): Ronald M. Amato
Respondent(s): Klaus Siepmann, Robert Mather, Allied Beacon Partners., Beacon Acquisition Partners.
Respondent Lawyers(s): Christopher P. Parrington
Arbitrator(s): William E. Hartsfield, David B. Dyer, Donald C. Hood
Hearing Site: Dallas, TX
| | |
| 13-01858 | 01/16/2014 | Claimant(s): Mark Prindle
Claimant Lawyers(s): Mark E. Prindle
Respondent(s): Edward Jones
Respondent Lawyers(s): Dennis J. Capriglione
Arbitrator(s): Charles A. Joplin
Hearing Site: Dallas, TX
| | $0 |
| 10-05351 | 01/03/2014 | Claimant(s): Wells Fargo Investments
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Anthony Vaccaro
Respondent Lawyers(s): Kenneth A. Zimmern
Arbitrator(s): Phillip Lee Scheldt, Simeon R. Trotter, Earle J. Schwarz
Hearing Site: Dallas, TX
| | |
| 13-01930 | 12/11/2013 | Claimant(s): Carl Cooper, Donna Cooper
Claimant Lawyers(s): Donna M. Cooper
Respondent(s): Monica Narvaez, Investors Capital Corp.
Respondent Lawyers(s): Michael A. Nagy
Arbitrator(s): Charles A. Joplin
Hearing Site: Dallas, TX
| | $15,437 |
| 12-02472 | 12/04/2013 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Jonathan Berg
Respondent(s): Terry Williamson
Respondent Lawyers(s): D. Craig Brinker
Arbitrator(s): Andrea U. Calve
Hearing Site: Dallas, TX
| | |
