| 15-00994 | 06/16/2016 | Claimant(s): Waddell Jeffries
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Legend Securities.
Respondent Lawyers(s): Lawrence R. Gelber
Arbitrator(s): Bertrand C. Moser, Alan M. Holzberg, Daniel Stephen Dexter
Hearing Site: Houston, TX
|  | $80,600 |
| 13-02390 | 05/15/2015 | Claimant(s): Ann McCorquodale, Knox McCorquodale, Rex McCorquodale
Claimant Lawyers(s): Andrew D. Gowdown
Respondent(s): Terry Chilton, Chilton Financial Services., Terry Chilton Financial Services, L.P.
Respondent Lawyers(s): Cory S. Reed
Arbitrator(s): Jack Chapline Vaughan, Allan R. Lazor, Daniel Stephen Dexter
Hearing Site: Houston, TX
| | $1,172,250 |
| 13-01876 | 04/28/2015 | Claimant(s): Brian Parker, Jessica Valentine, Parker Family Trust
Claimant Lawyers(s): Joseph R. Marrs
Respondent(s): Interactive Brokers LLC
Respondent Lawyers(s): John J. Nielands
Arbitrator(s): Malcolm Edwin Whittaker, Michael Edward Denosky, Daniel Stephen Dexter
Hearing Site: Houston, TX
| | $1,209,600 |
| 14-01426 | 04/14/2015 | Claimant(s): Scott Coombes
Claimant Lawyers(s): Scott Browning Coombes
Respondent(s): Carol Reinking, Valic Financial Advisors.
Respondent Lawyers(s): Carol Reinking, Kortney S. Farmer
Arbitrator(s): Oren L. Connaway, Maurice J. Fallas, Daniel Stephen Dexter
Hearing Site: Houston, TX
| | Expungement |
| 13-02821 | 01/26/2015 | Claimant(s): Dorothy Robertson
Claimant Lawyers(s): Samuel B. Edwards
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Vanessa M Hoffman
Arbitrator(s): Philip I. McConnell, Maurice J. Fallas, Daniel Stephen Dexter
Hearing Site: Houston, TX
| | Expungement |
| 13-02109 | 03/26/2014 | Claimant(s): James Dickson, Margery Dickson
Claimant Lawyers(s): James Boanerges
Respondent(s): Golden Beneficial Securities Corporation
Respondent Lawyers(s): Sean Leidelmeyer, CEO
Arbitrator(s): Richard F. Dole, Jeff Kilgore, Daniel Stephen Dexter
Hearing Site: Houston, TX
| | $2,497,700 |
