| 12-03963 | 09/11/2013 | Claimant(s): Next Financial Group.
Claimant Lawyers(s): Gary Klein
Respondent(s): Michael Kolacz
Respondent Lawyers(s): Michael D. Kolacz
Arbitrator(s): William E. Hartsfield
Hearing Site: Dallas, TX
| | |
| 12-02077 | 09/09/2013 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Brad Kirklin
Respondent(s): Richard Ainsworth
Respondent Lawyers(s): Richard K. Ainsworth
Arbitrator(s): Robert L. Yeager, G. Maynard Green, Robert E. Treadaway
Hearing Site: Dallas, TX
| | |
| 12-02697 | 09/09/2013 | Claimant(s): Morgan Keegan & Company.
Claimant Lawyers(s): Dominique Heller
Respondent(s): Sandra Macdowell
Respondent Lawyers(s): Mark A. Hendrix
Arbitrator(s): Phillip Lee Scheldt
Hearing Site: Dallas, TX
| | |
| 13-00928 | 09/06/2013 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Timothy N. Will
Respondent(s): James Henning
Respondent Lawyers(s): James Henning
Arbitrator(s): Ann Blaess Kimball
Hearing Site: Dallas, TX
| | |
| 12-00584 | 09/05/2013 | Claimant(s): The Odessa Firemen's Relief & Retiremen
Claimant Lawyers(s): Joe Wojciechowski
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Peter Fruin
Arbitrator(s): Harry J Saginaw, Don G Miller, Douglas Wade Carvell
Hearing Site: Dallas, TX
|  | $399,566 |
| 12-04127 | 09/03/2013 | Claimant(s): LaTrina Wright
Claimant Lawyers(s): LaTrina Wright
Respondent(s): TIAA-CREF Individual & Institutional Ser
Respondent Lawyers(s): John M. Farrell
Arbitrator(s): Louis J. Weber, William E. Hartsfield, Margaret Louise Ruckriegel
Hearing Site: Dallas, TX
| | |
| 10-03540 | 08/22/2013 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): David Ferneding
Respondent Lawyers(s): Lowell N. Hawkes
Arbitrator(s): Robert C. Denenberg, Jeff Abrams, Joseph G. Werner
Hearing Site: Dallas, TX
| | |
| 12-04136 | 08/13/2013 | Claimant(s): Jack Mac Phail Roth IRA, Jack Mac Phail Traditional IRA, Jack Mac Phail Trust Account
Claimant Lawyers(s): Jack Mac Phail
Respondent(s): Charles Schwab & Co.., Robert Tyer, Stephanie Spicer
Respondent Lawyers(s): Geoffrey S. Beckham
Arbitrator(s): G. Maynard Green
Hearing Site: Dallas, TX
| | $0 |
| 12-04091 | 08/09/2013 | Claimant(s): Mark Dubel
Claimant Lawyers(s): Michael A. Kalish
Respondent(s): Dallas Blagg, Robin Ward-Blagg
Respondent Lawyers(s): Jason A. Archinaco
Arbitrator(s): Charles A. Joplin
Hearing Site: Dallas, TX
| | Expungement |
| 12-00030 | 08/08/2013 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): Geremy Anderson
Respondent Lawyers(s): Geremy R. Anderson
Arbitrator(s): Maryanne M. Esser
Hearing Site: Dallas, TX
| | |
