| 10-04622 | 04/17/2013 | Claimant(s): Lehman Brothers Holdings Inc.
Claimant Lawyers(s): Neil A. Sussman
Respondent(s): Jason Taylor
Respondent Lawyers(s): Anthony Paduano
Arbitrator(s): Jeff Abrams, Martha Z. Ralstin, David J. Nowacki
Hearing Site: Dallas, TX
| | |
| 12-03291 | 04/01/2013 | Claimant(s): Sanders Morris Harris Inc.
Claimant Lawyers(s): Rose Romero
Respondent(s): Jimmy Day, John Gilbert
Respondent Lawyers(s): H. David Flowers, Mack E. Swindle
Arbitrator(s): Simeon R. Trotter, Melinda G. Jayson, Edward Bradbury Cloutman
Hearing Site: Dallas, TX
| | |
| 12-02386 | 03/13/2013 | Claimant(s): Terri Beddingfield
Claimant Lawyers(s): Richard A. Lewins
Respondent(s): La Salle St. Securities, L.L.C.
Respondent Lawyers(s): Matthew M. Showel
Arbitrator(s): Ann Blaess Kimball, Dineo Coleman Gary, Mayur Harshad Amin
Hearing Site: Dallas, TX
|  | Expungement |
| 11-01615 | 03/01/2013 | Claimant(s): Raymond, James & Associates.
Claimant Lawyers(s): William Schmitt
Respondent(s): Marc Prda
Respondent Lawyers(s): J. Randle Henderson
Arbitrator(s): R. Theodore Moock, William E. Hartsfield, Melinda G. Jayson
Hearing Site: Dallas, TX
| | |
| 12-00713 | 02/26/2013 | Claimant(s): Charles McCally, Judy McCally, Charles R. McCally Sr, IRA
Claimant Lawyers(s): Charles R McCally, Judy L McCally
Respondent(s): Optionshouse
Respondent Lawyers(s): Lesley G. Smith
Arbitrator(s): Arthur H. Geffen, Jeff Abrams, Jeffrey Richard Chiappetta
Hearing Site: Dallas, TX
| | $0 |
| 10-04837 | 02/22/2013 | Claimant(s): Karen Wykrent, Michael Wykrent
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Jeffrey L. Friedman
Arbitrator(s): William E. Hartsfield, Karen J. Zvonecek, Edward J. Lynch
Hearing Site: Dallas, TX
| | Expungement |
| 11-03706 | 02/22/2013 | Claimant(s): Bernard Malone, Mary Malone
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Donald Hodges, First Dallas Securities Incorporated
Respondent Lawyers(s): N. Henry Simpson
Arbitrator(s): G. Maynard Green, Russell H Hairston, James Douglas Haigh
Hearing Site: Dallas, TX
| | $0 |
| 11-01729 | 02/19/2013 | Claimant(s): Jaclyn Dukatt
Claimant Lawyers(s): James R. Amschler
Respondent(s): UBS Financial Services Inc., Matthew Fuller
Respondent Lawyers(s): Jonathan C. Schwartz
Arbitrator(s): Joann Peters, Michael E. Rohde, Beverly Jo McKemie
Hearing Site: Dallas, TX
| | $102,000 |
| 12-00559 | 02/12/2013 | Claimant(s): Ema Russell, Hal Boyd, Juvenile Diabetes Research Foundation, The American Cancer Society., The American Foundation for Aids Resch., The Arthritis Foundation, South Central, The Estate of Charles A. Carr, R.L. Donald, Jr. Family Trust, Jr. Gen. Skip. Marital Trst
Claimant Lawyers(s): William A Wollard
Respondent(s): Wells Fargo Advisors, Danny Barlow, Robert Barlow, Executor of the Estate Neva Henderson Do, TTEE of Neva Henderson Donald Liv Trust
Respondent Lawyers(s): C. Jane Thacker, Jack D. Ballard
Arbitrator(s): Edward J. Lynch, Mary Elizabeth Skelnik, Clement Osimetha
Hearing Site: Dallas, TX
| | Stipulated Award and Expungement |
| 12-02577 | 02/07/2013 | Claimant(s): Jason Steinbeck
Claimant Lawyers(s): Jason A. Steinbeck
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Felde Hoffman
Arbitrator(s): Melinda G. Jayson
Hearing Site: Dallas, TX
| | $0 |
