| 11-01231 | 08/05/2011 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Jeffrey F. Manzella
Respondent(s): Lawrence Krogsdale
Respondent Lawyers(s): Lawrence Alfred Krogsdale
Arbitrator(s): G. Maynard Green
Hearing Site: Dallas, TX
| | |
| 10-01340 | 08/01/2011 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc., Merrill Lynch International Finance Inc
Claimant Lawyers(s): Jason K. Roberts
Respondent(s): John Bauer
Respondent Lawyers(s): John T. Bauer
Arbitrator(s): Thomas J. Ray
Hearing Site: Dallas, TX
| | |
| 10-01343 | 08/01/2011 | Claimant(s): Beatrice McRae, Buford McRae, Robert Lee, B.E. McRae Family Limited Partnership, Robert Earl Lee Rev Trust
Claimant Lawyers(s): Kalju Nekvasil
Respondent(s): Capwest Securities.
Respondent Lawyers(s): H. Thomas Fehn
Arbitrator(s): Robert L. Chisolm, Richard Frederick Schaufert, James W. Kerr
Hearing Site: Dallas, TX
|  | $931,960 |
| 08-03816 | 07/29/2011 | Claimant(s): Othello Capital GP, Othello Capital Partners LP
Claimant Lawyers(s): Janet K. DeCosta
Respondent(s): Jackson Su, Penson Financial Services., Othello Capital Management LLC
Respondent Lawyers(s): Elizabeth A. Frohlich, Janet K. DeCosta
Arbitrator(s): Mark I Preston, Maxel (Bud) B. Silverberg, Theodore Mack
Hearing Site: Dallas, TX
| | $250,000 |
| 09-00906 | 07/25/2011 | Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Steven Williams
Respondent Lawyers(s): Leonard J. Meyer
Arbitrator(s): William Cavalier, Henry Hermann, Patricia J. Branco
Hearing Site: Dallas, TX
| | |
| 10-01983 | 07/15/2011 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Gregg W. Marsano
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): George A. Sellnau
Hearing Site: Dallas, TX
| | |
| 10-02366 | 07/06/2011 | Claimant(s): Keith Houser, Biotech Medics.
Claimant Lawyers(s): Keith G. Smith
Respondent(s): Nevwest Securities Corporation
Respondent Lawyers(s): Sergey Rumyantsev
Arbitrator(s): Joann Peters
Hearing Site: Dallas, TX
| | $1,792,570 |
| 10-03740 | 07/01/2011 | Claimant(s): GLB Trading
Claimant Lawyers(s): Lori S. Varaich
Respondent(s): Richard McCain
Respondent Lawyers(s): Tim Davis
Arbitrator(s): Robert L. Yeager
Hearing Site: Dallas, TX
| | |
| 09-06348 | 06/30/2011 | Claimant(s): Joseph and Fionnvala Stockton JTWROS
Claimant Lawyers(s): Kerry L. McGill
Respondent(s): Fidelity Brokerage Services LLC, Thomas Scarbrough
Respondent Lawyers(s): Melissa Hegger Shea
Arbitrator(s): Michael E. Rohde
Hearing Site: Dallas, TX
| | Stipulated Award and Expungement |
| 09-03976 | 06/24/2011 | Claimant(s): First Command Bank, First Command Financial Planning., First Command Financial Services.
Claimant Lawyers(s): Jeremy L. Harmon
Respondent(s): Kenneth Davey
Respondent Lawyers(s): Branden W. Sparks
Arbitrator(s): Ann Blaess Kimball, Russell H Hairston, Larry N. Quinn
Hearing Site: Dallas, TX
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