| 12-03229 | 10/07/2013 | Claimant(s): Noel Brown
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): James Bell, James Clark, Worth Financial Group Inc.
Respondent Lawyers(s): James W. Clark, James Wiley Bell
Arbitrator(s): Arthur H. Geffen, Joann Peters, Joseph Neal Richardson
Hearing Site: Dallas, TX
|  | $30,435 |
| 11-01729 | 02/19/2013 | Claimant(s): Jaclyn Dukatt
Claimant Lawyers(s): James R. Amschler
Respondent(s): UBS Financial Services Inc., Matthew Fuller
Respondent Lawyers(s): Jonathan C. Schwartz
Arbitrator(s): Joann Peters, Michael E. Rohde, Beverly Jo McKemie
Hearing Site: Dallas, TX
| | $102,000 |
| 11-03633 | 09/10/2012 | Claimant(s): PR Liquidating Trust
Claimant Lawyers(s): Andrew B. Sommerman
Respondent(s): Boogie Investment Group.
Respondent Lawyers(s): Daniel P. Deighan
Arbitrator(s): Terrence W. Grant, Phillip Lee Scheldt, Joann Peters
Hearing Site: Dallas, TX
| | $833,650 |
| 11-03938 | 08/08/2012 | Claimant(s): Adi Danous
Claimant Lawyers(s): Adi Danous
Respondent(s): Milkie/Ferguson Investments.
Respondent Lawyers(s): Henry J. Ackels
Arbitrator(s): Joann Peters
Hearing Site: Dallas, TX
| | $25,425 |
| 10-05297 | 10/27/2011 | Claimant(s): Rosalin Rogers
Claimant Lawyers(s): Rosalin Rogers
Respondent(s): Randall Pope
Respondent Lawyers(s): Randall Lane Pope
Arbitrator(s): Joann Peters, Robert L. Yeager, Jay M. Vogelson
Hearing Site: Dallas, TX
| | $182,334 |
| 10-02366 | 07/06/2011 | Claimant(s): Keith Houser, Biotech Medics.
Claimant Lawyers(s): Keith G. Smith
Respondent(s): Nevwest Securities Corporation
Respondent Lawyers(s): Sergey Rumyantsev
Arbitrator(s): Joann Peters
Hearing Site: Dallas, TX
| | $1,792,570 |
| 09-00577 | 07/10/2009 | Claimant(s): Carlos Casas
Claimant Lawyers(s): Carlos E Casas
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Joann Peters
Hearing Site: Dallas, TX
| | $213 |
| 06-04808 | 08/27/2008 | Claimant(s): Chestnut Energy Partners., a/k/a
Claimant Lawyers(s): John T. Gerhart
Respondent(s): Thomas Tapia
Respondent Lawyers(s): Thomas Tapia
Arbitrator(s): Joann Peters, Peter J. Conlon, Edward J. Lynch
Hearing Site: Dallas, TX
| | |
| 07-01760 | 01/07/2008 | Claimant(s): Richard Littell
Claimant Lawyers(s): Richard E. Littell
Respondent(s): Keith Connolly, William Mancusi, Vision Securties.
Respondent Lawyers(s): Harry J. Delagrammatikas, William Anthony Mancusi, William Mancusi
Arbitrator(s): Joann Peters
Hearing Site: Dallas, TX
| | $2,908 |
| 06-00880 | 11/26/2007 | Claimant(s): Jeffrey Carroll, UBS Financial Services Inc., Rebecca Gadus
Claimant Lawyers(s): Jin-Ho Chung
Respondent(s): Sammy Gordon
Respondent Lawyers(s): Leonard Weintraub
Arbitrator(s): Joann Peters, Bill M. Lamoreaux, Richard A Miller
Hearing Site: Dallas, TX
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