| 09-05994 | 05/23/2011 | Claimant(s): Raymond, James & Associates.
Claimant Lawyers(s): Kelli Bullington
Respondent(s): Willard White
Respondent Lawyers(s): J. Randle Henderson
Arbitrator(s): Charles T. Dix, William E. Hartsfield, Mary Elizabeth Skelnik
Hearing Site: Dallas, TX
| | |
| 10-02162 | 05/10/2011 | Claimant(s): Hurshel & Mildred Tyler
Claimant Lawyers(s): Tracy Stoneman
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): Erin K. Linehan
Arbitrator(s): Roland D. Freeman, Robert L. Chisolm, Robert J. Gregory
Hearing Site: Dallas, TX
|  | $1,497,060 |
| 09-06774 | 05/05/2011 | Claimant(s): William Brown
Claimant Lawyers(s): Jeffrey B. Kaplan
Respondent(s): Burke Dambly, Daryl Holzberg, James Walsh, Private Asset Group.
Respondent Lawyers(s): Robert J. Girard
Arbitrator(s): Linda B. Kelly, Frances Johnson Wright, James Douglas Haigh
Hearing Site: Dallas, TX
| | Expungement |
| 10-03985 | 04/26/2011 | Claimant(s): Estate of Lula Mae McDonald
Claimant Lawyers(s): Patricia Coy
Respondent(s): Melanie Housden, Edward Jones
Respondent Lawyers(s): Shane Duggin
Arbitrator(s): Maryanne M. Esser
Hearing Site: Dallas, TX
| | $15,431 |
| 09-00450 | 04/14/2011 | Claimant(s): William Doran
Claimant Lawyers(s): Mark H. How
Respondent(s): J. Miller, RBC Capital Markets LLC
Respondent Lawyers(s): Janiece M. Longoria
Arbitrator(s): Ann Blaess Kimball, G. Maynard Green, Robert E. Treadaway
Hearing Site: Dallas, TX
| | $0 |
| 10-04701 | 04/12/2011 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): James Van Dyke
Respondent(s): Robert Nethery
Respondent Lawyers(s): Robert Curtis Nethery
Arbitrator(s): Andrea U. Calve
Hearing Site: Dallas, TX
| | |
| 09-02882 | 04/08/2011 | Claimant(s): Angela Schwausch
Claimant Lawyers(s): Richard H. Elliott
Respondent(s): UBS Financial Services Inc., Kenneth Logsdon, Michael Trahan
Respondent Lawyers(s): Alise Johnson Henry
Arbitrator(s): Kurt L. Smith, Frances Johnson Wright, James Douglas Haigh
Hearing Site: Dallas, TX
| | $25,000 |
| 10-00989 | 03/30/2011 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Yana Kromo
Respondent(s): Mark Fowler
Respondent Lawyers(s): Mark W. Fowler
Arbitrator(s): George A. Sellnau
Hearing Site: Dallas, TX
| | |
| 09-01485 | 03/24/2011 | Claimant(s): Adam C. Singer 2004 Trust U/A DTD 20FEB0
Claimant Lawyers(s): Scott A. Shanes
Respondent(s): Goldman, Sachs and Company
Respondent Lawyers(s): Sharon J. Shumway
Arbitrator(s): Maxel (Bud) B. Silverberg, Daniel A. Kile, Richard Frederick Schaufert
Hearing Site: Dallas, TX
| | $450,000 |
| 09-07137 | 03/24/2011 | Claimant(s): Estate of Elsie Caldonia Flowers
Claimant Lawyers(s): J. Don Gordon
Respondent(s): Wachovia Securities, Johnnie Cadenhead, A.G. Edwards & Sons.
Respondent Lawyers(s): Johnnie Cadenhead, Will S. Montgomery
Arbitrator(s): Bill H. Brister, Andrea U. Calve, Margaret Louise Ruckriegel
Hearing Site: Dallas, TX
| | $292,953 |
