| 12-02576 | 12/02/2013 | Claimant(s): RBC Capital Markets LLC
Claimant Lawyers(s): Mark L. Johansen
Respondent(s): Kelly Rigas
Respondent Lawyers(s): R. Rogge Dunn
Arbitrator(s): Keith L. Saunders, Edward J. Lynch, Joseph Neal Richardson
Hearing Site: Dallas, TX
| | |
| 12-02416 | 11/19/2013 | Claimant(s): Betty Gallagher, Patrick Gallagher
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Susan E. Sheely
Arbitrator(s): Patricia B. Lehtola, Anita M. Jean, Gerald Ray Waterston
Hearing Site: Dallas, TX
|  | Expungement |
| 12-02772 | 10/10/2013 | Claimant(s): Ann Bailey
Claimant Lawyers(s): Shauna Wright
Respondent(s): Robert Williams, Edward Jones
Respondent Lawyers(s): Donald R. Littlefield
Arbitrator(s): Robert C. Denenberg, Jeff Abrams, Catherine M. Norman
Hearing Site: Dallas, TX
| | $263,950 |
| 13-00067 | 10/08/2013 | Claimant(s): Justin Maine
Claimant Lawyers(s): Justin S. Maine
Respondent(s): John Arrick, Raymond James Financial Services.
Respondent Lawyers(s): Kelli Hartsook
Arbitrator(s): James M. Tipton
Hearing Site: Dallas, TX
| | $0 |
| 12-01080 | 10/07/2013 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Jason Roberts
Respondent(s): Anthony Vaccaro
Respondent Lawyers(s): Anthony F. Vaccaro
Arbitrator(s): Charles A. Joplin, Sherrie R. Abney, Robert E. Treadaway
Hearing Site: Dallas, TX
| | |
| 12-03229 | 10/07/2013 | Claimant(s): Noel Brown
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): James Bell, James Clark, Worth Financial Group Inc.
Respondent Lawyers(s): James W. Clark, James Wiley Bell
Arbitrator(s): Arthur H. Geffen, Joann Peters, Joseph Neal Richardson
Hearing Site: Dallas, TX
| | $30,435 |
| 12-00388 | 10/03/2013 | Claimant(s): Neeley Chancellor, Neeley Morris Chancellor Trust
Claimant Lawyers(s): Bryan T. Forman
Respondent(s): LPL Financial LLC, Jimmy Holcomb, Richard Stone, Edward Jones
Respondent Lawyers(s): Charles A. Hammaker
Arbitrator(s): C. Sumpter Logan, Paul L. Salzberger, Robert Jerry Strader
Hearing Site: Dallas, TX
| | Expungement |
| 12-02000 | 10/01/2013 | Claimant(s): LaVerne Coalson, Coalson Insurance Trust U/A 7/9/99
Claimant Lawyers(s): Clinton W. Marrs
Respondent(s): Donny Vogler, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Rodney J. Heggy
Arbitrator(s): Bill M. Lamoreaux, Linda B. Kelly, Frances Johnson Wright
Hearing Site: Dallas, TX
| | $1,198,440 |
| 12-02936 | 10/01/2013 | Claimant(s): Scott Miller
Claimant Lawyers(s): Mark W. Bayer
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Andrew R. Harvin
Arbitrator(s): Daniel A. Kile, Lawrence R. Maxwell, Joseph G. Werner
Hearing Site: Dallas, TX
| | $96,436 |
| 12-02920 | 09/30/2013 | Claimant(s): Dora Davis
Claimant Lawyers(s): Richard H. Elliott
Respondent(s): Stephanie Hrycyk, Hrycyk Financial, LLP
Respondent Lawyers(s): David B. Dyer
Arbitrator(s): William L. Cravens, Harry J Saginaw, Lawrence R. Maxwell
Hearing Site: Dallas, TX
| | Stipulated Award |
