| 20-04189 | 12/22/2022 | Claimant(s): Tika Ventures LLC
Claimant Lawyers(s): Michael Hill
Respondent(s): Royal Alliance Associates.
Respondent Lawyers(s): Will S. Montgomery
Arbitrator(s): Marc Kalish, Kathy L. Eisenmenger, Donald Dreyfus
Hearing Site: Salt Lake City, UT
|  | $0 |
| 19-02368 | 03/05/2021 | Claimant(s): Daniel Dillard
Claimant Lawyers(s): Bogdan Rentea
Respondent(s): Sagepoint Financial.
Respondent Lawyers(s): Will S. Montgomery
Arbitrator(s): Carlton A. Butler, Michael S. Yauch, Mark Ritchie
Hearing Site: Houston, TX
| | |
| 10-01194 | 06/26/2013 | Claimant(s): United Micronesia Development Assoc.
Claimant Lawyers(s): Robert J. O'Connor
Respondent(s): Wells Fargo Advisors, James Davis, Sanders Morris Harris Inc.
Respondent Lawyers(s): Ben Suter, Peter B. Wells, Will S. Montgomery
Arbitrator(s): Carol M. Egan, Elmo E. Wedderburn, Tobin B. Swanson
Hearing Site: Honolulu, HI
| | $100,000 |
| 10-01622 | 11/10/2011 | Claimant(s): Donald Wilson
Claimant Lawyers(s): Kirk B. Freeman
Respondent(s): Southwest Securities.
Respondent Lawyers(s): Will S. Montgomery
Arbitrator(s): Jane Bradley, David J. Romanski, Dennis Markham Smith
Hearing Site: San Francisco, CA
| | |
| 09-07068 | 10/18/2011 | Claimant(s): Dan Carlyle
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Will S. Montgomery
Arbitrator(s): Robert L. Chisolm, Robert J. Gregory, Paul L. Salzberger
Hearing Site: Dallas, TX
| | Expungement |
| 10-02638 | 06/03/2011 | Claimant(s): Morgan Keegan & Company.
Claimant Lawyers(s): Will S. Montgomery
Respondent(s): Michael Venable
Respondent Lawyers(s): Cody L. Towns
Arbitrator(s): R. Theodore Moock, Maryanne M. Esser, Corbet F. Bryant
Hearing Site: Dallas, TX
| | |
| 09-05503 | 05/24/2011 | Claimant(s): Boushy North Investments Ltd.
Claimant Lawyers(s): Paul I. Aronowitz
Respondent(s): Penson Financial Services, Second Mile Wealth Management.
Respondent Lawyers(s): Matthew G. Nielsen, Will S. Montgomery
Arbitrator(s): Bernard D. Hammer, Kurt D. Steiner, Michael S. Yauch
Hearing Site: Houston, TX
| | $500,000 |
| 09-03912 | 04/19/2011 | Claimant(s): John Hogge
Claimant Lawyers(s): Mark Cohen
Respondent(s): A.G. Edwards & Sons.
Respondent Lawyers(s): Will S. Montgomery
Arbitrator(s): James G. Cooper, George A. Sellnau, Philip I. McConnell
Hearing Site: Houston, TX
| | $0 |
| 09-07137 | 03/24/2011 | Claimant(s): Estate of Elsie Caldonia Flowers
Claimant Lawyers(s): J. Don Gordon
Respondent(s): Wachovia Securities, Johnnie Cadenhead, A.G. Edwards & Sons.
Respondent Lawyers(s): Johnnie Cadenhead, Will S. Montgomery
Arbitrator(s): Bill H. Brister, Andrea U. Calve, Margaret Louise Ruckriegel
Hearing Site: Dallas, TX
| | $292,953 |
| 09-04204 | 11/16/2010 | Claimant(s): George Allibone, June Allibone, Allibone Family Ltd. Partnership
Claimant Lawyers(s): Ernest W. Boyd
Respondent(s): Wachovia Securities, Joseph Klages, Nolan Caldwell, A.G. Edwards & Sons., Wells Fargo Advisors
Respondent Lawyers(s): Will S. Montgomery
Arbitrator(s): Philip I. McConnell, Howard J. Siegel, Ross D. Friend
Hearing Site: Houston, TX
| | $0 |
