| 12-02938 | 08/06/2013 | Claimant(s): Patricia Wilson
Claimant Lawyers(s): David Neuman
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Amanda C. Hawley
Arbitrator(s): James M. Tipton
Hearing Site: Dallas, TX
|  | Expungement |
| 12-02569 | 07/26/2013 | Claimant(s): William Wilson
Claimant Lawyers(s): James Schull
Respondent(s): Stifel, Nicolaus & Co.., Joy Wilson, Scott Wilson
Respondent Lawyers(s): Gesina (Ena) M. Seiler, Jeffrey C. Primiano
Arbitrator(s): Charles A. Joplin
Hearing Site: Dallas, TX
| | $0 |
| 12-01306 | 07/25/2013 | Claimant(s): Bevrose Investments LP, Emmrose Investments LP, LNR Investments LP, Penrose Investments LP
Claimant Lawyers(s): Richard A. Lewins
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Deborah Dickstein
Arbitrator(s): Harry J Saginaw, James Douglas Haigh, Dineo Coleman Gary
Hearing Site: Dallas, TX
| | $75,000 |
| 13-00200 | 07/15/2013 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Samuel P. Mauch
Respondent(s): Pylar Pinkston
Respondent Lawyers(s): Pylar Siria Pinkston
Arbitrator(s): G. Maynard Green
Hearing Site: Dallas, TX
| | |
| 12-02434 | 07/12/2013 | Claimant(s): Elizabeth Gandy, Steven Burrus
Claimant Lawyers(s): Bryan D. Perkins
Respondent(s): USAA Federal Savings Bank, USAA Investment Management Company
Respondent Lawyers(s): Theodore Schultz
Arbitrator(s): Robert J. Gregory, Dineo Coleman Gary, Joseph Neal Richardson
Hearing Site: Dallas, TX
| | $0 |
| 11-02571 | 07/10/2013 | Claimant(s): Edward Massey, Merrilyn Massey
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Gregg P. Garneau
Arbitrator(s): Robert L. Yeager, William E. Hartsfield, Andrea U. Calve
Hearing Site: Dallas, TX
| | Expungement |
| 12-04293 | 07/01/2013 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Diane C. Fischer
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Maryanne M. Esser
Hearing Site: Dallas, TX
| | |
| 11-04036 | 06/26/2013 | Claimant(s): Pansy Yankey
Claimant Lawyers(s): Nathan J Schwartz
Respondent(s): Southwest Securities.
Respondent Lawyers(s): Clint A. Corrie
Arbitrator(s): Phillip Lee Scheldt, Daniel A. Kile, Patricia B. Lehtola
Hearing Site: Dallas, TX
| | Expungement |
| 12-04173 | 06/24/2013 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Ernest W. Irons
Respondent(s): Thomas Decker
Respondent Lawyers(s): Kevin M. Roche
Arbitrator(s): Philip I. McConnell
Hearing Site: Dallas, TX
| | |
| 13-00557 | 06/20/2013 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Audrey Hendricks
Respondent(s): Justin Fawcett
Respondent Lawyers(s): Justin Fawcett
Arbitrator(s): Arthur H. Geffen
Hearing Site: Dallas, TX
| | |
