| 11-04601 | 09/05/2014 | Claimant(s): Estate of Roberta A. Hott
Claimant Lawyers(s): Bobby M. Rubarts
Respondent(s): Southwest Securities., Mark Hepworth, S&P Investors.
Respondent Lawyers(s): Andrew T. Hepworth, John T. Gerhart
Arbitrator(s): Robert L. Yeager, Jay M. Vogelson, Kerry Wallace Bowman
Hearing Site: Dallas, TX
|  | $0 |
| 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
| | |
| 11-02571 | 07/10/2013 | Claimant(s): Edward Massey, Merrilyn Massey
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Gregg P. Garneau
Arbitrator(s): Robert L. Yeager, William E. Hartsfield, Andrea U. Calve
Hearing Site: Dallas, TX
| | Expungement |
| 10-02924 | 03/13/2012 | Claimant(s): John Burch
Claimant Lawyers(s): Sheldon B. Swan
Respondent(s): Cathy Lombard-Conner, Lombard-Smith Investments., Sws Financial Services
Respondent Lawyers(s): Meghan E. George
Arbitrator(s): Michael R. Prescott, Robert L. Yeager, Thomas Bentley Baines
Hearing Site: Oklahoma City, OK
| | $0 |
| 11-00190 | 02/14/2012 | Claimant(s): Brenda Proeschel, James Proeschel
Claimant Lawyers(s): Nicholas J. Guiliano
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Michael Gless
Arbitrator(s): Robert L. Yeager
Hearing Site: Dallas, TX
| | Expungement |
| 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 |
| 10-04120 | 09/09/2011 | Claimant(s): Mary Pihlak
Claimant Lawyers(s): James W. George
Respondent(s): Edward Jones
Respondent Lawyers(s): Dennis J. Capriglione
Arbitrator(s): Robert L. Yeager
Hearing Site: Dallas, TX
| | $32,671 |
| 10-03740 | 07/01/2011 | Claimant(s): GLB Trading
Claimant Lawyers(s): Lori S. Varaich
Respondent(s): Richard McCain
Respondent Lawyers(s): Tim Davis
Arbitrator(s): Robert L. Yeager
Hearing Site: Dallas, TX
| | |
| 09-06133 | 06/24/2011 | Claimant(s): Esposito Securities
Claimant Lawyers(s): Deborah Deitsch-Perez
Respondent(s): Daniel Biaggio, Francis Merrill, Michael Marchand, Stephen Capurso, WFG Investments.
Respondent Lawyers(s): Brian J. Hurst
Arbitrator(s): Robert L. Yeager, Melinda G. Jayson, George F. Longino
Hearing Site: Dallas, TX
| | |
| 09-01731 | 09/30/2010 | Claimant(s): James Wikert
Claimant Lawyers(s): C. Bruce Willis
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): Robert L. Yeager
Hearing Site: Dallas, TX
| | |
