| 17-02783 | 12/07/2018 | Claimant(s): Stephen Shaper
Claimant Lawyers(s): Jennifer Tarr
Respondent(s): Andrew Tressler, Cassandra Woodward, Todd Aitken, Liberty Partners Financial Services
Respondent Lawyers(s): Eric J. Sussman
Arbitrator(s): Dale A. Hearn, Brian James Tagtmeier, Stuart Diamond
Hearing Site: Houston, TX
|  | $0 |
| 12-02101 | 12/19/2013 | Claimant(s): Estate of Dorris Arris
Claimant Lawyers(s): Roger G. Bresnahan
Respondent(s): Wachovia Securities, Wells Fargo Advisors, Gerald Cohn, The Cohn Financial Group
Respondent Lawyers(s): Martha F. McDugald
Arbitrator(s): Dale A. Hearn, Charles E. Munson, Stephanie E. Simmons
Hearing Site: Houston, TX
| | Expungement |
| 11-00594 | 02/29/2012 | Claimant(s): Robert Elberger
Claimant Lawyers(s): Ronald M. Cohen
Respondent(s): Wells Fargo Investments, Jay Haley
Respondent Lawyers(s): Martha F. McDugald
Arbitrator(s): Thomas D. Nagle, Dale A. Hearn, Alan M. Holzberg
Hearing Site: Houston, TX
| | $0 |
| 09-02570 | 05/20/2010 | Claimant(s): Sue Lane
Claimant Lawyers(s): Milton H. Fried
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathryn R. Eldridge
Arbitrator(s): David G. Beerbower, George A. Sellnau, Dale A. Hearn
Hearing Site: Houston, TX
| | $0 |
| 08-04902 | 05/13/2010 | Claimant(s): Mary Davis
Claimant Lawyers(s): Lee Bowie
Respondent(s): Alan Ferguson, James Kelsoe, Lynn Shaw, Morgan Keegan & Company.
Respondent Lawyers(s): Suzanne H. Bertolett
Arbitrator(s): Donald K. Eckhardt, Dale A. Hearn, Robert M. Lubin
Hearing Site: Jackson, MS
| | $196,958 |
| 08-04027 | 03/29/2010 | Claimant(s): Arun Verma, Karuna Verma, Makan Limited Partnership
Claimant Lawyers(s): C. Mark Stratton
Respondent(s): Wachovia Securities, John Montfort, A.G. Edwards & Sons.
Respondent Lawyers(s): Daniel Kirshbaum, Jack C. Ballard
Arbitrator(s): Thomas D. Nagle, Dale A. Hearn, Charles S. Chester
Hearing Site: Houston, TX
| | $82,837 |
| 09-02071 | 10/16/2009 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): Lawrence Mcintosh
Respondent Lawyers(s): Lawrence Clyde Mcintosh
Arbitrator(s): James G. Cooper, Eli Bensky, Dale A. Hearn
Hearing Site: Houston, TX
| | |
| 08-00328 | 09/09/2008 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): William Rexrode
Respondent Lawyers(s): William T. Rexrode
Arbitrator(s): Dale A. Hearn, Walter F. Schleyer, Ruth Smith Jackson
Hearing Site: Houston, TX
| | |
| 05-06273 | 05/19/2008 | Claimant(s): Wells Fargo Investments
Claimant Lawyers(s): Ronald P. Kane
Respondent(s): James Jackson, Laura Rowley
Respondent Lawyers(s): Robert A. Kantas, Ronald P. Kane
Arbitrator(s): Daniel R. Schmieder, Dale A. Hearn, Carol Frances Relihan
Hearing Site: Houston, TX
| | |
| 07-01369 | 05/12/2008 | Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): James Hamrick
Respondent Lawyers(s): James M. Hamrick
Arbitrator(s): Eli Bensky, Dale A. Hearn, Ruth Smith Jackson
Hearing Site: Houston, TX
| | |
