| 14-02881 | 07/12/2016 | Claimant(s): Ana Mediavilla De Menendez, Antonio Calzada Medero, Luz Rivera Batista, Sandra Gomez
Claimant Lawyers(s): Edward H. Glenn
Respondent(s): Santander Securities LLC
Respondent Lawyers(s): Diego Murgia Diaz
Arbitrator(s): Mark C. Perry, William Barker Brown, Earle J. Schwarz
Hearing Site: San Juan, PR
|  | Expungement |
| 13-02922 | 09/30/2014 | Claimant(s): Morgan Stanley, MSSB FA Notes Holdings LLC
Claimant Lawyers(s): David J. Sensenig
Respondent(s): Paul McCutchen
Respondent Lawyers(s): Denny Sumpter
Arbitrator(s): Earle J. Schwarz
Hearing Site: Little Rock, AR
| | |
| 13-02966 | 05/15/2014 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Joseph L. Gordon
Respondent(s): Greg Snider
Respondent Lawyers(s): Greg W. Snider
Arbitrator(s): Earle J. Schwarz
Hearing Site: Memphis, TN
| | |
| 10-05180 | 02/25/2014 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Allan Watt, Gloria Keimer, Lois Powell, Paula Czapko, Robert Ratcliff
Respondent Lawyers(s): Diane C. Fischer, Robert L. Herskovits
Arbitrator(s): Earle J. Schwarz, Robert E. Treadaway, Eric Ross Cromartie
Hearing Site: Dallas, TX
| | |
| 12-04105 | 02/24/2014 | Claimant(s): Larry Davis
Claimant Lawyers(s): Larry Darnell Davis
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): John Starnes
Arbitrator(s): John J. Meyer, Earle J. Schwarz, Melva J. Harmon
Hearing Site: Jackson, MS
| | $0 |
| 10-05351 | 01/03/2014 | Claimant(s): Wells Fargo Investments
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Anthony Vaccaro
Respondent Lawyers(s): Kenneth A. Zimmern
Arbitrator(s): Phillip Lee Scheldt, Simeon R. Trotter, Earle J. Schwarz
Hearing Site: Dallas, TX
| | |
| 11-04569 | 07/09/2013 | Claimant(s): Allen Silk, Mary Silk, Allen B. Silk, IRA, SEP, Mary E. Silk SEP, Mary E. Silk
Claimant Lawyers(s): Frank "Kim" Breese
Respondent(s): Gary Spooner, Securities Service Network.
Respondent Lawyers(s): Gary Lee Spooner, Ryan R. Baker
Arbitrator(s): Earle J. Schwarz, Kenneth W. Shelley, Leigh Ann Roberts
Hearing Site: Jackson, MS
| | $308,656 |
| 12-02303 | 06/19/2013 | Claimant(s): Ahmad Shah Jalil, Shah S. Jalil C/F Maurie S. Jalil UTTMA, Shah S. Jalil C/F Sarah E. Jalil UTTMA
Claimant Lawyers(s): Charles M. Thompson
Respondent(s): BBVA Compass Investment Solutions, Sterne, Agee & Leach.
Respondent Lawyers(s): M. Lee Johnsey, Rebecca A. Beers
Arbitrator(s): Earle J. Schwarz, Debra Black Leo, Stephen Edward Cundiff
Hearing Site: Birmingham, AL
| | Expungement |
| 11-00235 | 12/28/2012 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Lisa M. Bertain
Respondent(s): Steven Widtfeldt
Respondent Lawyers(s): Steven Eric Widtfeldt
Arbitrator(s): Mark I Preston, Charles A. Joplin, Earle J. Schwarz
Hearing Site: Dallas, TX
| | |
| 11-01800 | 11/09/2012 | Claimant(s): Mike Lusk, Mike G. Lusk, Sr. IRA's, Mike G. Lusk and Lynette Lusk Jointly
Claimant Lawyers(s): Frank "Kim" Breese
Respondent(s): Citigroup Global Markets., Morgan Stanley, Louis Frascogna, Paul Keys
Respondent Lawyers(s): Raul Sanchez
Arbitrator(s): George A. Sawyer, Earle J. Schwarz, James Kee Irvin
Hearing Site: Jackson, MS
| | $0 |
