| 11-02375 | 02/20/2013 | Claimant(s): Dorothy Miller, Sam Miller, Dorothy J. Miller IRA, Dr. Sam S. Miller IRA, Ms. Dorothy J. and Dr. Sam S. Miller, Dr. Sam S. Miller Trust, Ms. Dorothy J. Miller Trust
Claimant Lawyers(s): Sylvan S. Lang
Respondent(s): Edwin Fulkerson, Charles Schwab & Co..
Respondent Lawyers(s): Richard L. Martens
Arbitrator(s): Robert M. Birenbaum, Donald K. Eckhardt, Larry J. Craddock
Hearing Site: Houston, TX
|  | Stipulated Award and Expungement |
| 11-01972 | 05/29/2012 | Claimant(s): Bill Loomis, Sharon Loomis, Bill Loomis IRRA
Claimant Lawyers(s): Chris Bell
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Casey L. Moore
Arbitrator(s): Juanita D. McKethan, Larry J. Craddock, Martin Epner
Hearing Site: Houston, TX
| | Expungement |
| 11-00717 | 04/20/2012 | Claimant(s): Joseph Sleiman
Claimant Lawyers(s): Eric M Rolinson
Respondent(s): John Mclaughlin, Morgan Keegan & Company.
Respondent Lawyers(s): Lee H. Zell
Arbitrator(s): Cary L. Weissman, Robert S. Mautner, Larry J. Craddock
Hearing Site: Orlando, FL
| | $0 |
| 08-04427 | 02/18/2011 | Claimant(s): TGS-NOPEC Geophysical Company
Claimant Lawyers(s): Todd A Higgins
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Timothy P. Burke
Arbitrator(s): Arno C. Schwethelm, Larry J. Craddock, Martin Epner
Hearing Site: Houston, TX
| | $525,000 |
| 09-03074 | 12/23/2010 | Claimant(s): Michael Maher
Claimant Lawyers(s): Patrick Zummo
Respondent(s): John Bentley, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Judith A. Meyer
Arbitrator(s): Kathy R. Holler, Thomas D. Nagle, Larry J. Craddock
Hearing Site: Houston, TX
| | $0 |
| 08-04007 | 05/21/2010 | Claimant(s): Luby's Restaurants Limited Partnership
Claimant Lawyers(s): Roy Camberg
Respondent(s): Credit Suisse Securities (USA) LLC
Respondent Lawyers(s): Brian F. Amery
Arbitrator(s): Carol Ann Stapper, Larry J. Craddock, Allan R. Lazor
Hearing Site: Houston, TX
| | Auction Rate Securities related |
| 09-02561 | 03/05/2010 | Claimant(s): Rose Weisz
Claimant Lawyers(s): Robert E. Goodman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Paul D. Flack
Arbitrator(s): Joshua D. Wallach, Larry J. Craddock, Brian James Tagtmeier
Hearing Site: Houston, TX
| | $0 |
| 07-02813 | 04/17/2009 | Claimant(s): Mary Colunga
Claimant Lawyers(s): William Hopkins
Respondent(s): Andrew Longoria, Capital Financial Services., GunnAllen Financial., LRS Investments
Respondent Lawyers(s): Janiece M. Longoria, Jay Marc Israel, Robert Tyler
Arbitrator(s): Morris Rubin, Sherry R. Wetsch, Larry J. Craddock
Hearing Site: Houston, TX
| | $47,500 |
