| 08-02010 | 05/26/2009 | Claimant(s): Wells Fargo Investments
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Chris Rotan
Respondent Lawyers(s): Dan McElroy
Arbitrator(s): R. Dan Mitchell, James P. Kinkade, Larry N. Quinn
Hearing Site: Dallas, TX
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| 08-04228 | 05/07/2009 | Claimant(s): Texakoma Financial.
Claimant Lawyers(s): Barry F. Cannaday
Respondent(s): Trent Trubenbach
Respondent Lawyers(s): Trent Trubenbach
Arbitrator(s): Edwin J. Tomko, Richard C. Corse, Maryanne M. Esser
Hearing Site: Dallas, TX
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| 08-01052 | 04/28/2009 | Claimant(s): Investment Professionals.
Claimant Lawyers(s): Christopher H. Tovar
Respondent(s): Cary Scheer, Corey McCarty
Respondent Lawyers(s): John R. Fahy
Arbitrator(s): Robert L. Yeager, Melody A. Pruser, David A. Schuler
Hearing Site: Dallas, TX
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| 08-01842 | 04/27/2009 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Will Stute
Respondent(s): Juliet Kiwanuka
Respondent Lawyers(s): Juliet Ann Kiwanuka
Arbitrator(s): Stephen C. Thayer, George F. Longino, Jill M. Zacha
Hearing Site: Dallas, TX
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| 08-00737 | 04/21/2009 | Claimant(s): Brian Armstrong, Shawndi Hatfield
Claimant Lawyers(s): Randall M. Foret
Respondent(s): Julie Rosenthal, William Rosenthal
Respondent Lawyers(s): Thomas S. Brandon
Arbitrator(s): Tony Michael Haddock, James W. Kerr, Mary Elizabeth Skelnik
Hearing Site: Dallas, TX
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| 08-01749 | 04/17/2009 | Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Philip J. Campisi
Respondent(s): Van Washington
Respondent Lawyers(s): Van Washington
Arbitrator(s): Simeon R. Trotter, Robert R. Nursey, Darrell G. Compton
Hearing Site: Dallas, TX
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| 08-02130 | 03/30/2009 | Claimant(s): Phazar Corp.
Claimant Lawyers(s): Robert L. Wright
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Wes Holston
Arbitrator(s): Maryanne M. Esser, Raul Antonio Canez, Robert E. Behrendt
Hearing Site: Dallas, TX
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| 08-03140 | 03/23/2009 | Claimant(s): OptionsHouse LLC
Claimant Lawyers(s): Lesley G. Smith
Respondent(s): Anietang Abia
Respondent Lawyers(s): Anietang Abia
Arbitrator(s): Robert R. Marquardt
Hearing Site: Dallas, TX
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| 08-01034 | 03/20/2009 | Claimant(s): Randy Smith
Claimant Lawyers(s): David R. Clouston
Respondent(s): Mitch Kramer
Respondent Lawyers(s): Eric F. Dankesreiter
Arbitrator(s): Jeff Abrams, Robert R. Nursey, G. Maynard Green
Hearing Site: Dallas, TX
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| 08-03157 | 03/18/2009 | Claimant(s): William Tucker
Claimant Lawyers(s): William Tucker
Respondent(s): Diesel Energy International, L.L.C.
Respondent Lawyers(s): James C. Allen
Arbitrator(s): David A. Schuler
Hearing Site: Dallas, TX
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