| 11-04022 | 02/14/2013 | Claimant(s): Sunbelt Securities.
Claimant Lawyers(s): Robert M. Corn
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Glen Silverstein
Arbitrator(s): Timothy L. Andrews, John Michael Watson, Ross D. Friend
Hearing Site: Houston, TX
| | |
| 08-02913 | 03/08/2011 | Claimant(s): Grupo Internacional De Asesores, S.A.
Claimant Lawyers(s): Michael Zweiback
Respondent(s): Eduardo Bustani, Jane Bates, Ricardo Perusquia, Global Financial Services, L.L.P.
Respondent Lawyers(s): Alex J. Brown, Andrew R. Harvin
Arbitrator(s): John Michael Watson, Danielle L. Hargrove
Hearing Site: Houston, TX
|  | Stipulated Award |
| 09-03513 | 06/18/2010 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Monica M. Littman
Respondent(s): Jason Cooney
Respondent Lawyers(s): Jason Cooney
Arbitrator(s): James R. Augustine, John Michael Watson, Nathan Levy
Hearing Site: Houston, TX
| | |
| 08-02032 | 04/07/2010 | Claimant(s): Investment Professionals.
Claimant Lawyers(s): Christopher H. Tovar
Respondent(s): Kevin Mathis
Respondent Lawyers(s): Kevin Mathis
Arbitrator(s): John Michael Watson, Daniel J. Pagnano, Juanita D. McKethan
Hearing Site: Houston, TX
| | |
| 09-03955 | 12/15/2009 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Chad Gottlieb
Respondent(s): Matthew Houston
Respondent Lawyers(s): Matthew Salvador Houston
Arbitrator(s): John Michael Watson
Hearing Site: Houston, TX
| | |
| 08-01014 | 12/18/2008 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): David Coffee
Respondent Lawyers(s): David S. Coffee
Arbitrator(s): John Michael Watson, William J. Kirkpatrick, Gary L. Foose
Hearing Site: Houston, TX
| | |
| 07-01404 | 12/10/2007 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Jamie B. Kennedy
Respondent(s): Stephen Stroud
Respondent Lawyers(s): Stephen D. Stroud
Arbitrator(s): John Michael Watson
Hearing Site: Houston, TX
| | |
