| 08-00259 | 03/09/2009 | Claimant(s): Jonathan Zarate
Claimant Lawyers(s): Jason A. Richardson
Respondent(s): Wells Fargo Investments
Respondent Lawyers(s): Thomas F. Kopshever
Arbitrator(s): Anthony William (Bill) Kashouty, Lawrence R. Maxwell, Larry N. Quinn
Hearing Site: Dallas, TX
|  | $37,118 |
| 07-01009 | 02/23/2009 | Claimant(s): Virgil Smith
Claimant Lawyers(s): Virgel L. Smith
Respondent(s): Southwest Securities.
Respondent Lawyers(s): Gary S. Kessler
Arbitrator(s): Simeon R. Trotter, Peter J. Conlon, David Max Sanderford
Hearing Site: Dallas, TX
| | |
| 08-01843 | 02/09/2009 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Will Stute
Respondent(s): Jonathan Hunsucker
Respondent Lawyers(s): Jonathan Scott Hunsucker
Arbitrator(s): Patricia J. Branco
Hearing Site: Dallas, TX
| | |
| 08-01135 | 01/30/2009 | Claimant(s): Jason Coulter
Claimant Lawyers(s): Jason Coulter
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Tracy L. Gerber
Arbitrator(s): Robert L. Yeager, Kenneth R. Hanks, Corbet F. Bryant
Hearing Site: Dallas, TX
| | |
| 08-02503 | 01/21/2009 | Claimant(s): OptionsHouse.
Claimant Lawyers(s): Lesley G. Smith
Respondent(s): Yana Gladtskov
Respondent Lawyers(s): Yana Gladtskov
Arbitrator(s): Bill M. Lamoreaux
Hearing Site: Dallas, TX
| | |
| 07-01261 | 01/13/2009 | Claimant(s): Roger Lawler
Claimant Lawyers(s): Joel Held
Respondent(s): Jeffrey Wheeler, M & W Financial.
Respondent Lawyers(s): Christopher R. Richie, Steven J. Pawlowski
Arbitrator(s): Bill H. Brister, Richard A Miller, Leighton Aiken
Hearing Site: Dallas, TX
| | $0 |
| 08-01837 | 11/19/2008 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Will Stute
Respondent(s): Edward Baxter
Respondent Lawyers(s): Edward Antheal Baxter
Arbitrator(s): Charles T. Dix
Hearing Site: Dallas, TX
| | |
| 07-02546 | 11/10/2008 | Claimant(s): Roger Anderson
Claimant Lawyers(s): Joan A. Renegar
Respondent(s): Southwest Securities.
Respondent Lawyers(s): Bryan J. Hurst
Arbitrator(s): G. Dale McKissick, Daniel A. Kile, Edward J. Lynch
Hearing Site: Dallas, TX
| | |
| 07-02234 | 11/06/2008 | Claimant(s): Alan Greenwood
Claimant Lawyers(s): Martin P. Unger
Respondent(s): Adam Maggio, Michael Wittenberg, J.P. Turner & Company, L.L.C.
Respondent Lawyers(s): Richard J. Babnick
Arbitrator(s): Linda B. Kelly, David A. Schuler, Catherine M. Norman
Hearing Site: Dallas, TX
| | Stipulated Award and Expungement |
| 08-00513 | 10/16/2008 | Claimant(s): SMH Capital Inc.
Claimant Lawyers(s): Martha E. McDugald
Respondent(s): Eric Edson
Respondent Lawyers(s): Eric Charles Edson
Arbitrator(s): John M. Wilkinson, George F. Longino, Robert E. Treadaway
Hearing Site: Dallas, TX
| | |
