| 12-02391 | 11/09/2012 | Claimant(s): Morgan Stanley, Morgnn Stanley Smith Barney FA Notes
Claimant Lawyers(s): Samuel P. Mauch
Respondent(s): Ernie Ianace
Respondent Lawyers(s): Ernie Peter Ianace
Arbitrator(s): William E. Hartsfield
Hearing Site: Dallas, TX
| | |
| 11-03650 | 09/27/2012 | Claimant(s): PR Liquidating Trust
Claimant Lawyers(s): Andrew B. Sommerman
Respondent(s): Harrison Douglas.
Respondent Lawyers(s): Douglas W. Schriner
Arbitrator(s): Donald C. Hood
Hearing Site: Dallas, TX
|  | $3,157,000 |
| 10-04765 | 09/14/2012 | Claimant(s): Craig Dyas, Jacqueline Dyas
Claimant Lawyers(s): Hugh N. Lyle
Respondent(s): John Ross, Morgan Stanley, Rodney Fallin
Respondent Lawyers(s): Christine A. Kendrick, Donald R. Littlefield
Arbitrator(s): Roland D. Freeman, C. Sumpter Logan, Robert Jerry Strader
Hearing Site: Dallas, TX
| | Expungement |
| 12-01155 | 09/12/2012 | Claimant(s): David Chilcoat
Claimant Lawyers(s): Mark G. Vaughan
Respondent(s): Donald Jackson
Respondent Lawyers(s): Donald Jackson
Arbitrator(s): Harry J Saginaw, George F. Longino, Theodore Mack
Hearing Site: Dallas, TX
| | Expungement |
| 11-02946 | 09/11/2012 | Claimant(s): Peggy Jones
Claimant Lawyers(s): Ronnie L. Agnew
Respondent(s): Southwest Securities., SWS Financial Services.
Respondent Lawyers(s): Richard A. Illmer
Arbitrator(s): Ann Blaess Kimball, Andrea U. Calve, Melvin H. Wolovits
Hearing Site: Dallas, TX
| | $15,000 |
| 11-03633 | 09/10/2012 | Claimant(s): PR Liquidating Trust
Claimant Lawyers(s): Andrew B. Sommerman
Respondent(s): Boogie Investment Group.
Respondent Lawyers(s): Daniel P. Deighan
Arbitrator(s): Terrence W. Grant, Phillip Lee Scheldt, Joann Peters
Hearing Site: Dallas, TX
| | $833,650 |
| 11-04132 | 09/05/2012 | Claimant(s): LPL Financial LLC
Claimant Lawyers(s): Jeffrey Compton
Respondent(s): Clarence Anderson
Respondent Lawyers(s): Clarence Joseph Anderson
Arbitrator(s): William E. Hartsfield
Hearing Site: Dallas, TX
| | |
| 11-03635 | 09/05/2012 | Claimant(s): PR Liquidating Trust
Claimant Lawyers(s): Andrew B. Sommerman
Respondent(s): Meadowbrook Securities LLC
Respondent Lawyers(s): Alberta Williams
Arbitrator(s): William E. Hartsfield
Hearing Site: Dallas, TX
| | $6,959,750 |
| 11-02706 | 08/30/2012 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Kimberly Rule
Respondent Lawyers(s): Tracey Edward Gajak
Arbitrator(s): Philip I. McConnell
Hearing Site: Dallas, TX
| | |
| 12-01028 | 08/13/2012 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael T. Roche
Respondent(s): Jay Nisbet
Respondent Lawyers(s): Jay Michael Nisbet
Arbitrator(s): Andrea U. Calve
Hearing Site: Dallas, TX
| | |
