| 09-03917 | 03/23/2011 | Claimant(s): Southwest Securities.
Claimant Lawyers(s): Brian J. Hurst
Respondent(s): Bryan Luter
Respondent Lawyers(s): Joyce W. Lindauer
Arbitrator(s): Linda B. Kelly, George F. Longino, Margaret Louise Ruckriegel
Hearing Site: Dallas, TX
| | |
| 09-05259 | 03/23/2011 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): John C. Steele
Respondent(s): Mark Gardner
Respondent Lawyers(s): Mark Steven Gardner
Arbitrator(s): Bill H. Brister, G. Maynard Green, Larry N. Quinn
Hearing Site: Dallas, TX
| | |
| 09-04549 | 03/22/2011 | Claimant(s): The Roger & Rosemary Enrico Foundation
Claimant Lawyers(s): James P. Graven
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): S. Lawrence Polk
Arbitrator(s): Donald C. Hood, Richard C. Corse, Donna Ross Philip
Hearing Site: Dallas, TX
|  | $207,994 |
| 10-00351 | 03/21/2011 | Claimant(s): John Coker
Claimant Lawyers(s): Allen L. Williamson
Respondent(s): Itradedirect.com Corp
Respondent Lawyers(s): Eric Arlt
Arbitrator(s): Thomas M. Campbell, Frances Johnson Wright, Russell H Hairston
Hearing Site: Dallas, TX
| | $446,376 |
| 07-03410 | 03/15/2011 | Claimant(s): Dennis Serio
Claimant Lawyers(s): Eric Madden
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Ross Forbes
Arbitrator(s): Edwin J. Tomko, Lawrence R. Maxwell, Mary Day Smelser
Hearing Site: Dallas, TX
| | |
| 10-04939 | 02/25/2011 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Christopher S. Griesmeyer
Respondent(s): Michael Alexander
Respondent Lawyers(s): Michael Allen Alexander
Arbitrator(s): Philip I. McConnell
Hearing Site: Dallas, TX
| | |
| 09-02624 | 02/04/2011 | Claimant(s): Edward Jones
Claimant Lawyers(s): Michael J. Whellan
Respondent(s): Preston Rosamond, Summit Brokerage Services
Respondent Lawyers(s): Bogdan Rentea
Arbitrator(s): Edwin J. Tomko, Frances Johnson Wright, Jill M. Zacha
Hearing Site: Dallas, TX
| | |
| 09-06229 | 01/21/2011 | Claimant(s): Roland Heidelberg
Claimant Lawyers(s): Roland B. Heidelberg
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Christian Aviza
Arbitrator(s): Lawrence R. Maxwell, W. Scott Newmann, Corbet F. Bryant
Hearing Site: Dallas, TX
| | |
| 08-05026 | 01/20/2011 | Claimant(s): Fox & Company Investments Inc.
Claimant Lawyers(s): Richard A. Lewins
Respondent(s): John Shryack, Steven Gundy, Milkie/Ferguson Investments.
Respondent Lawyers(s): David A. Zisser, Henry J. Ackels
Arbitrator(s): Maxel (Bud) B. Silverberg, James L. Goble, Robert M. Nicoud
Hearing Site: Dallas, TX
| | |
| 09-04391 | 01/10/2011 | Claimant(s): Reba Ceniglis, Tom Ceniglis
Claimant Lawyers(s): Richard H. Elliott
Respondent(s): Dale Johnson, Morgan Stanley & Co., William Atwood Jr.
Respondent Lawyers(s): James J. Fontanilla
Arbitrator(s): Sherrie R. Abney, Lawrence R. Maxwell, W. Scott Newmann
Hearing Site: Dallas, TX
| | $0 |
