| 13-03506 | 03/18/2015 | Claimant(s): Paul Moorman
Claimant Lawyers(s): Robert C. Wiegand
Respondent(s): Southwest Securities.
Respondent Lawyers(s): D. Lance Currie
Arbitrator(s): William E. Hartsfield, Robert E. Treadaway, Walter Scott Cowger
Hearing Site: Dallas, TX
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| 10-05180 | 02/25/2014 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Allan Watt, Gloria Keimer, Lois Powell, Paula Czapko, Robert Ratcliff
Respondent Lawyers(s): Diane C. Fischer, Robert L. Herskovits
Arbitrator(s): Earle J. Schwarz, Robert E. Treadaway, Eric Ross Cromartie
Hearing Site: Dallas, TX
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| 12-01080 | 10/07/2013 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Jason Roberts
Respondent(s): Anthony Vaccaro
Respondent Lawyers(s): Anthony F. Vaccaro
Arbitrator(s): Charles A. Joplin, Sherrie R. Abney, Robert E. Treadaway
Hearing Site: Dallas, TX
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| 12-02077 | 09/09/2013 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Brad Kirklin
Respondent(s): Richard Ainsworth
Respondent Lawyers(s): Richard K. Ainsworth
Arbitrator(s): Robert L. Yeager, G. Maynard Green, Robert E. Treadaway
Hearing Site: Dallas, TX
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| 12-00827 | 11/29/2012 | Claimant(s): Carson Graves
Claimant Lawyers(s): Carson Graves
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Vanessa M. Hoffmann
Arbitrator(s): Bill M. Lamoreaux, Robert E. Treadaway, Mayur Harshad Amin
Hearing Site: Dallas, TX
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| 09-00450 | 04/14/2011 | Claimant(s): William Doran
Claimant Lawyers(s): Mark H. How
Respondent(s): J. Miller, RBC Capital Markets LLC
Respondent Lawyers(s): Janiece M. Longoria
Arbitrator(s): Ann Blaess Kimball, G. Maynard Green, Robert E. Treadaway
Hearing Site: Dallas, TX
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| 09-05032 | 12/15/2010 | Claimant(s): Ensco International Incorporated
Claimant Lawyers(s): Robert L. Wright
Respondent(s): Jefferies & Company.
Respondent Lawyers(s): Martin J. Auberbach
Arbitrator(s): Robert E. Treadaway, Edward J. Lynch, James W. Kerr
Hearing Site: Dallas, TX
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| 09-06649 | 11/12/2010 | Claimant(s): First Southwest Company
Claimant Lawyers(s): Christopher R. Richie
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Donald R. Littlefield
Arbitrator(s): Peter J. Conlon, Linda B. Kelly, Robert E. Treadaway
Hearing Site: Dallas, TX
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| 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
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| 07-01275 | 07/25/2008 | Claimant(s): First Command Financial Planning., First Command Financial Services.
Claimant Lawyers(s): Jeremy L. Harmon, Lee F. Christie
Respondent(s): James Washnock, John Washnock
Respondent Lawyers(s): Gregory T. Talley
Arbitrator(s): Jack K. Lovette, Daniel A. Kile, Robert E. Treadaway
Hearing Site: Dallas, TX
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