| 11-03651 | 05/30/2013 | Claimant(s): PR Liquidating Trust
Claimant Lawyers(s): Andrew B. Sommerman
Respondent(s): WFP Securities
Respondent Lawyers(s): John Schooler
Arbitrator(s): Henry Hermann, Patricia B. Lehtola, Edward J. Lynch
Hearing Site: Dallas, TX
|  | $18,577,000 |
| 11-03318 | 12/14/2012 | Claimant(s): LPL Financial LLC
Claimant Lawyers(s): Jeffrey Compton
Respondent(s): Gabrell Chambers
Respondent Lawyers(s): Gabrell Christian Chambers
Arbitrator(s): Patricia B. Lehtola
Hearing Site: Dallas, TX
| | |
| 10-05046 | 02/29/2012 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Edward C. Nowak
Respondent(s): Thomas Watts
Respondent Lawyers(s): Charles W. Wright
Arbitrator(s): Patricia B. Lehtola
Hearing Site: Jackson, MS
| | |
| 10-03313 | 02/16/2012 | Claimant(s): Bill Callis
Claimant Lawyers(s): Marie C. Mirch
Respondent(s): Banc of America Investment Services Inc.
Respondent Lawyers(s): Andrew M. DeLucia
Arbitrator(s): Michael E. Rohde, Patricia B. Lehtola, Thomas Richard Delaney
Hearing Site: Dallas, TX
| | |
| 09-06203 | 06/16/2011 | Claimant(s): John Colley, LaNita Colley
Claimant Lawyers(s): W. David Carter
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Meredith A. Cunningham
Arbitrator(s): Lewis W. Pollok, Patricia B. Lehtola, Brian D. Esenwein, JD, CPA
Hearing Site: Dallas, TX
| | $73,000 |
| 10-02096 | 12/16/2010 | Claimant(s): Vicki Williams
Claimant Lawyers(s): Vicki R Williams
Respondent(s): Wells Fargo Investments
Respondent Lawyers(s): Thomas F. Kopshever
Arbitrator(s): Patricia B. Lehtola
Hearing Site: Dallas, TX
| | $0 |
| 10-03047 | 11/29/2010 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Mary Jo Cantu
Respondent(s): Trey Trammell
Respondent Lawyers(s): Trey Calvin Trammell
Arbitrator(s): Patricia B. Lehtola
Hearing Site: Dallas, TX
| | |
| 09-06300 | 11/18/2010 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Amy M. Fritsky
Respondent(s): Oscar Penn
Respondent Lawyers(s): Oscar Penn
Arbitrator(s): Patricia B. Lehtola
Hearing Site: Houston, TX
| | |
| 07-01491 | 08/25/2009 | Claimant(s): Brad Phalen, Chatt Cottle, Crystal Phalen, Jennifer Cottle
Claimant Lawyers(s): Scott Heselmeyer
Respondent(s): Charles Carter, James Alldredge, World Group Securities.
Respondent Lawyers(s): Amy C. Welborn, David B. Dyer, Robert G. Brunton
Arbitrator(s): Robert R. Nursey, Synthia L. Taylor, Patricia B. Lehtola
Hearing Site: Dallas, TX
| | Expungement |
| 04-01862 | 08/27/2007 | Claimant(s): Virginia Kent, Louis and Virginia Kent
Claimant Lawyers(s): Martyn B. Hill
Respondent(s): Louis Kent, M. Bowles, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Alan S. Rafterman, Martyn B. Hill
Arbitrator(s): Raymond E. Jennison, Carol A. Freeland, Patricia B. Lehtola
Hearing Site: Dallas, TX
| | $0 |
