| 12-04089 | 06/06/2014 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Ernest W. Irons
Respondent(s): Royce Simpson
Respondent Lawyers(s): J. Randle Henderson
Arbitrator(s): Selenne Calhamer, Malcolm Edwin Whittaker, Susan Meek
Hearing Site: Houston, TX
| | |
| 12-00961 | 12/20/2013 | Claimant(s): Clocktower Tax Credits LLC, Northeast Securities.
Claimant Lawyers(s): Charles M. O'Rourke
Respondent(s): Vert Investment Group, Vert Securities, Llc
Respondent Lawyers(s): J. Randle Henderson
Arbitrator(s): Peter P. Skomorowsky
Hearing Site: New York, NY
| | |
| 12-03249 | 11/27/2013 | Claimant(s): Lawrence Wilkerson
Claimant Lawyers(s): Robert K. Savage
Respondent(s): IMS Securities.
Respondent Lawyers(s): J. Randle Henderson
Arbitrator(s): Arno C. Schwethelm
Hearing Site: Houston, TX
| | |
| 11-01615 | 03/01/2013 | Claimant(s): Raymond, James & Associates.
Claimant Lawyers(s): William Schmitt
Respondent(s): Marc Prda
Respondent Lawyers(s): J. Randle Henderson
Arbitrator(s): R. Theodore Moock, William E. Hartsfield, Melinda G. Jayson
Hearing Site: Dallas, TX
| | |
| 10-00556 | 04/10/2012 | Claimant(s): Marty Timpano
Claimant Lawyers(s): David W. Miller
Respondent(s): Jason Harrison, IMS Securities.
Respondent Lawyers(s): David A. Carp, J. Randle Henderson
Arbitrator(s): Jeffrey R. Jury
Hearing Site: Houston, TX
|  | $81,637 |
| 10-05117 | 02/23/2012 | Claimant(s): Kay Dunn, Joseph Charles MacCabe III
Claimant Lawyers(s): Joseph C. MacCabe, Kay M. Dunn
Respondent(s): Byron Preuss, Russell Childs, Cambridge Legacy Securities LLC, IMS Securities.
Respondent Lawyers(s): Brian A. Carlis, J. Randle Henderson
Arbitrator(s): Sherry R. Wetsch, William R. Jonson, Mary Esther Escobedo
Hearing Site: Houston, TX
| | $30,000 |
| 10-04203 | 10/06/2011 | Claimant(s): Judy Phinizy
Claimant Lawyers(s): Lewis Harley
Respondent(s): Moody Securities, Llc
Respondent Lawyers(s): J. Randle Henderson
Arbitrator(s): Bertrand C. Moser, Jeff Kilgore, David D. McNally
Hearing Site: Houston, TX
| | |
| 09-05994 | 05/23/2011 | Claimant(s): Raymond, James & Associates.
Claimant Lawyers(s): Kelli Bullington
Respondent(s): Willard White
Respondent Lawyers(s): J. Randle Henderson
Arbitrator(s): Charles T. Dix, William E. Hartsfield, Mary Elizabeth Skelnik
Hearing Site: Dallas, TX
| | |
