| 09-05754 | 11/22/2011 | Claimant(s): Mary Brown, Paul Allgyer
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Larry E. Mobley
Arbitrator(s): Jerry C. Prestridge, Nathan Levy, William Edward Buck
Hearing Site: Houston, TX
|  | Expungement |
| 09-06504 | 11/16/2011 | Claimant(s): Patrick Mendenhall
Claimant Lawyers(s): Brian E. Bro
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Robert L. Ivey
Arbitrator(s): Nathan Levy, Jeff Kilgore, Mary Esther Escobedo
Hearing Site: Houston, TX
| | |
| 09-03513 | 06/18/2010 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Monica M. Littman
Respondent(s): Jason Cooney
Respondent Lawyers(s): Jason Cooney
Arbitrator(s): James R. Augustine, John Michael Watson, Nathan Levy
Hearing Site: Houston, TX
| | |
| 06-04621 | 10/05/2007 | Claimant(s): Christine McGinnis
Claimant Lawyers(s): Joseph J. Hroch
Respondent(s): Fredrick McGinnis, UBS Financial Services Inc.
Respondent Lawyers(s): James M. Kimbell, Paul D. Flack
Arbitrator(s): Nathan Levy, Mark C. Watler, Michele N. O'Brien
Hearing Site: Houston, TX
| | Dismissed by Rule 12206 |
