| 16-00022 | 06/02/2017 | Claimant(s): James Anderton, Anderton A Trust, Anderton B Trust
Claimant Lawyers(s): Joyce W. Lindauer
Respondent(s): Matthew Mason, Raymond James Financial Services., Alliance Bank, Alliance Bank Financial Services
Respondent Lawyers(s): Martha F. McDugald
Arbitrator(s): C. Sumpter Logan, John McWane Hayes, George Lucas ("Luke") Ashley
Hearing Site: Dallas, TX
|  | Expungement |
| 12-02101 | 12/19/2013 | Claimant(s): Estate of Dorris Arris
Claimant Lawyers(s): Roger G. Bresnahan
Respondent(s): Wachovia Securities, Wells Fargo Advisors, Gerald Cohn, The Cohn Financial Group
Respondent Lawyers(s): Martha F. McDugald
Arbitrator(s): Dale A. Hearn, Charles E. Munson, Stephanie E. Simmons
Hearing Site: Houston, TX
| | Expungement |
| 11-03046 | 06/14/2012 | Claimant(s): Claude Berwick, Sheila Berwick, Claude R. Berwick IRA, Sheila C. Berwick IRA
Claimant Lawyers(s): William S. Shepherd
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Martha F. McDugald
Arbitrator(s): William Edward Buck, Stephen James Cavanaugh, Montie G. Grimes
Hearing Site: Houston, TX
| | $70,000 |
| 11-00594 | 02/29/2012 | Claimant(s): Robert Elberger
Claimant Lawyers(s): Ronald M. Cohen
Respondent(s): Wells Fargo Investments, Jay Haley
Respondent Lawyers(s): Martha F. McDugald
Arbitrator(s): Thomas D. Nagle, Dale A. Hearn, Alan M. Holzberg
Hearing Site: Houston, TX
| | $0 |
| 11-00699 | 01/11/2012 | Claimant(s): Arlene Halley
Claimant Lawyers(s): Randall K. Calvert
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Martha F. McDugald
Arbitrator(s): Vicki J. Limas, Pamela M. Roach, Charles W. Adams
Hearing Site: Oklahoma City, OK
| | Stipulated Award and Expungement |
| 10-03186 | 11/21/2011 | Claimant(s): Earl Duhon, Lillie Duhon
Claimant Lawyers(s): Thomas Kiehnoff
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Robert Shriver, Merrill Lynch Life Agency
Respondent Lawyers(s): Martha F. McDugald
Arbitrator(s): Mobley E. Cox, Richard F. Dole, Robert Alan Meyer
Hearing Site: Houston, TX
| | Expungement |
| 09-03112 | 04/01/2010 | Claimant(s): SMH Capital Inc.
Claimant Lawyers(s): Martha F. McDugald
Respondent(s): John Defini
Respondent Lawyers(s): John Defini
Arbitrator(s): Kathleen P. Helbig-Hannan
Hearing Site: Cleveland, OH
| | $0 |
