| 13-03009 | 05/01/2014 | Claimant(s): Lucy Bauman
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Deirdre Wolff
Arbitrator(s): Arthur H. Geffen
Hearing Site: Dallas, TX
|  | $49,999 |
| 12-03229 | 10/07/2013 | Claimant(s): Noel Brown
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): James Bell, James Clark, Worth Financial Group Inc.
Respondent Lawyers(s): James W. Clark, James Wiley Bell
Arbitrator(s): Arthur H. Geffen, Joann Peters, Joseph Neal Richardson
Hearing Site: Dallas, TX
| | $30,435 |
| 13-00557 | 06/20/2013 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Audrey Hendricks
Respondent(s): Justin Fawcett
Respondent Lawyers(s): Justin Fawcett
Arbitrator(s): Arthur H. Geffen
Hearing Site: Dallas, TX
| | |
| 12-00713 | 02/26/2013 | Claimant(s): Charles McCally, Judy McCally, Charles R. McCally Sr, IRA
Claimant Lawyers(s): Charles R McCally, Judy L McCally
Respondent(s): Optionshouse
Respondent Lawyers(s): Lesley G. Smith
Arbitrator(s): Arthur H. Geffen, Jeff Abrams, Jeffrey Richard Chiappetta
Hearing Site: Dallas, TX
| | $0 |
| 10-01647 | 02/21/2012 | Claimant(s): Rhonda Foster
Claimant Lawyers(s): David Neuman
Respondent(s): Cannen Ferrell, James Walsh
Respondent Lawyers(s): David C. Holt, Robert J. Girard
Arbitrator(s): Arthur H. Geffen, Robert Jerry Strader, Alan Keith Goldfarb
Hearing Site: Dallas, TX
| | Expungement |
| 08-03977 | 12/21/2009 | Claimant(s): Signal Securities Inc.
Claimant Lawyers(s): Gilbert W. Boyce
Respondent(s): David Beck
Respondent Lawyers(s): David L. Beck
Arbitrator(s): Arthur H. Geffen, Priscilla Kim Park, Preston Deaton Rigsby
Hearing Site: Dallas, TX
| | |
