| 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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| 08-02916 | 11/11/2009 | Claimant(s): Catherine Etheridge, Jeffrey Pollard, John Pollard, Mary Pollard, Mary Margaret Etheridge Custodial, Estate of Jane Thomason Pollard, Jeffrey Thomason Pollard IRA, Mary E. Pollard Contributory IRA
Claimant Lawyers(s): Henry Simpson
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Joshua D. Jones
Arbitrator(s): Maxel (Bud) B. Silverberg, Peter J. Conlon, Roland D. Freeman
Hearing Site: Dallas, TX
|  | $0 |
| 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
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| 07-02886 | 10/06/2008 | Claimant(s): Sherpa Fund
Claimant Lawyers(s): John R. Fahy
Respondent(s): Robert Gioia, AFS Brokerage.
Respondent Lawyers(s): Donald C. Hurwitz, Robert Gioia
Arbitrator(s): Peter J. Conlon, John Courtade, Maryanne M. Esser
Hearing Site: Dallas, TX
| | $0 |
| 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
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