| 10-03943 | 07/18/2013 | Claimant(s): Timothy Stephens
Claimant Lawyers(s): Matthew B. Henneman
Respondent(s): Walter Schneider, Barclays Capital Inc., Barclays Wealth
Respondent Lawyers(s): Jack D. Ballard
Arbitrator(s): Larry J. Sklar, Daniel J. Pagnano, Deirdre Renee Fuller
Hearing Site: Houston, TX
|  | Amended Stipulated Award and Expungement |
| 12-02716 | 01/22/2013 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Matthew B. Henneman
Respondent(s): Robert Thompson
Respondent Lawyers(s): Robert Sidney Thompson
Arbitrator(s): Mark A. Myers
Hearing Site: Birmingham, AL
| | |
| 12-01650 | 10/08/2012 | Claimant(s): Morgan Stanley, Morgan Stanley FA Notes Holdings LLC
Claimant Lawyers(s): Matthew B. Henneman
Respondent(s): Eric Johnson
Respondent Lawyers(s): Eric David Johnson
Arbitrator(s): Mark A. Myers
Hearing Site: Birmingham, AL
| | |
| 11-04072 | 06/29/2012 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Matthew B. Henneman
Respondent(s): Jonathan Tuoti
Respondent Lawyers(s): Jonathan J. Tuoti
Arbitrator(s): I. Douglas Dunipace
Hearing Site: Phoenix, AZ
| | |
| 09-01756 | 12/01/2010 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Matthew B. Henneman
Respondent(s): Bryan Sampson, Connie Heinen, Robert W. Baird & Co. Incorporated
Respondent Lawyers(s): Stephen M. Bales
Arbitrator(s): Rolf V. Aronsen, Verne R. Gray, Thomas J. Duff
Hearing Site: Des Moines, IA
| | $2,428,030 |
| 08-04913 | 08/06/2009 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Matthew B. Henneman
Respondent(s): Robert Slowik
Respondent Lawyers(s): Robert J. Slowik
Arbitrator(s): Richard C. Moenning, A. Brad Busscher, Jack L. Karp
Hearing Site: Chicago, IL
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