| 10-03313 | 02/16/2012 | Claimant(s): Bill Callis
Claimant Lawyers(s): Marie C. Mirch
Respondent(s): Banc of America Investment Services Inc.
Respondent Lawyers(s): Andrew M. DeLucia
Arbitrator(s): Michael E. Rohde, Patricia B. Lehtola, Thomas Richard Delaney
Hearing Site: Dallas, TX
| | |
| 11-00856 | 02/16/2012 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Ira N. Glauber
Respondent(s): William Bentley
Respondent Lawyers(s): William B. Bentley
Arbitrator(s): Andrea U. Calve
Hearing Site: Dallas, TX
| | |
| 11-02750 | 02/15/2012 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Patricia Tsipras
Respondent(s): William Schwind
Respondent Lawyers(s): William Alfred Schwind
Arbitrator(s): G. Maynard Green
Hearing Site: Dallas, TX
| | |
| 11-00190 | 02/14/2012 | Claimant(s): Brenda Proeschel, James Proeschel
Claimant Lawyers(s): Nicholas J. Guiliano
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Michael Gless
Arbitrator(s): Robert L. Yeager
Hearing Site: Dallas, TX
|  | Expungement |
| 10-02283 | 01/11/2012 | Claimant(s): Scott Stith
Claimant Lawyers(s): Liane Janovsky
Respondent(s): TD Ameritrade Clearing.
Respondent Lawyers(s): Marcia A. Washkuhn
Arbitrator(s): William E. Hartsfield
Hearing Site: Dallas, TX
| | |
| 10-02065 | 01/05/2012 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Jeffrey Manzella
Respondent(s): Andrew Williams
Respondent Lawyers(s): W. Ashton Randall
Arbitrator(s): R. Phillip Reed, Jill M. Zacha, Jay M. Vogelson
Hearing Site: Dallas, TX
| | |
| 11-01640 | 12/09/2011 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Diane C Fischer
Respondent(s): William Schwind
Respondent Lawyers(s): William Alfred Schwind
Arbitrator(s): William E. Hartsfield
Hearing Site: Dallas, TX
| | |
| 10-02566 | 12/07/2011 | Claimant(s): James Nunley
Claimant Lawyers(s): Mark A.J. Fassold
Respondent(s): EdgeTrade LLC, EdgeTrade., EdgeTrade.Com., Knight Capital Group., Knight Direct LLC
Respondent Lawyers(s): Jason Marlin
Arbitrator(s): Sheldon F. Schobert, G. Maynard Green, Edward J. Lynch
Hearing Site: Dallas, TX
| | |
| 09-04480 | 11/22/2011 | Claimant(s): Jamie Blumenthal, Nancy Blumenthal
Claimant Lawyers(s): Bryan T. Forman
Respondent(s): Brian Wahlfeld, Don Torrillo, Gordon Hing, Emmett A Larkin Company.
Respondent Lawyers(s): David J. Feingold, Joseph Keenan, Nicholas S. Cerni
Arbitrator(s): Ann Blaess Kimball, Richard C. Corse, Jeanne Crandall
Hearing Site: Dallas, TX
| | Expungement |
| 11-01076 | 11/15/2011 | Claimant(s): Estate of Lois E. Walker
Claimant Lawyers(s): Peter F. Walker
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Deirdre Wolff
Arbitrator(s): Frances Johnson Wright
Hearing Site: Dallas, TX
| | $20,819 |
