| 11-04022 | 02/14/2013 | Claimant(s): Sunbelt Securities.
Claimant Lawyers(s): Robert M. Corn
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Glen Silverstein
Arbitrator(s): Timothy L. Andrews, John Michael Watson, Ross D. Friend
Hearing Site: Houston, TX
| | |
| 10-01519 | 10/30/2012 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Erik Littlejohn
Respondent Lawyers(s): Cynthia R. Levin Moulton
Arbitrator(s): Leah A. Murray, R. Lee Britton Jr., Ross D. Friend
Hearing Site: Houston, TX
| | |
| 09-04204 | 11/16/2010 | Claimant(s): George Allibone, June Allibone, Allibone Family Ltd. Partnership
Claimant Lawyers(s): Ernest W. Boyd
Respondent(s): Wachovia Securities, Joseph Klages, Nolan Caldwell, A.G. Edwards & Sons., Wells Fargo Advisors
Respondent Lawyers(s): Will S. Montgomery
Arbitrator(s): Philip I. McConnell, Howard J. Siegel, Ross D. Friend
Hearing Site: Houston, TX
|  | $0 |
| 09-06311 | 11/15/2010 | Claimant(s): Homer Martin
Claimant Lawyers(s): Royal B. Lea
Respondent(s): Riverstone Wealth Mangement.
Respondent Lawyers(s): John Courtade
Arbitrator(s): Ross D. Friend, William A. Allen, David C. Redford
Hearing Site: Houston, TX
| | $512,101 |
| 09-03119 | 09/27/2010 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Erin E. MacAvoy
Respondent(s): Andrea Smith
Respondent Lawyers(s): Steven C. Earl
Arbitrator(s): Eli Bensky, Joshua D. Wallach, Ross D. Friend
Hearing Site: Houston, TX
| | |
| 09-01912 | 11/10/2009 | Claimant(s): Investment Professionals.
Claimant Lawyers(s): Christopher H. Tovar
Respondent(s): Alana Sanderson, Mark Bratton
Respondent Lawyers(s): Martin S. Schexnayder
Arbitrator(s): Mark C. Watler, Ross D. Friend, Oren L. Connaway
Hearing Site: Houston, TX
| | |
