| 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
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| 12-03291 | 04/01/2013 | Claimant(s): Sanders Morris Harris Inc.
Claimant Lawyers(s): Rose Romero
Respondent(s): Jimmy Day, John Gilbert
Respondent Lawyers(s): H. David Flowers, Mack E. Swindle
Arbitrator(s): Simeon R. Trotter, Melinda G. Jayson, Edward Bradbury Cloutman
Hearing Site: Dallas, TX
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| 09-01452 | 06/28/2010 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Ronald P. Kane
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Kenneth D. Bingham, Simeon R. Trotter, Robert R. Nursey
Hearing Site: Dallas, TX
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| 09-00081 | 03/04/2010 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): William Van Cleve
Respondent Lawyers(s): Charles M. Hamilton
Arbitrator(s): William E. Barker, Henry Hermann, Simeon R. Trotter
Hearing Site: Dallas, TX
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| 08-01749 | 04/17/2009 | Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Philip J. Campisi
Respondent(s): Van Washington
Respondent Lawyers(s): Van Washington
Arbitrator(s): Simeon R. Trotter, Robert R. Nursey, Darrell G. Compton
Hearing Site: Dallas, TX
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| 07-01009 | 02/23/2009 | Claimant(s): Virgil Smith
Claimant Lawyers(s): Virgel L. Smith
Respondent(s): Southwest Securities.
Respondent Lawyers(s): Gary S. Kessler
Arbitrator(s): Simeon R. Trotter, Peter J. Conlon, David Max Sanderford
Hearing Site: Dallas, TX
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| 07-01596 | 05/27/2008 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Brent Lemons
Respondent Lawyers(s): Brent Lemons
Arbitrator(s): R. Dan Mitchell, Simeon R. Trotter, George F. Longino
Hearing Site: Dallas, TX
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| 07-00687 | 01/10/2008 | Claimant(s): Morgan Keegan & Company.
Claimant Lawyers(s): Shea O'Brien Hicks
Respondent(s): William Vancleve
Respondent Lawyers(s): William Early Vancleve
Arbitrator(s): Mark I Preston, Simeon R. Trotter, Preston Deaton Rigsby
Hearing Site: Dallas, TX
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| 05-06247 | 11/26/2007 | Claimant(s): RBC Dain Rauscher.
Claimant Lawyers(s): Nancy L. Hendrickson
Respondent(s): Dale Johnson, James Tallant, John Pennington, Keith Shahan, Morgan Stanley DW Inc., Samuel Sloane, Susan Stroud
Respondent Lawyers(s): Bruce W. Day
Arbitrator(s): Simeon R. Trotter, Malcolm W. Clarrissimeaux, Ted Martin Akin
Hearing Site: Dallas, TX
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