| 13-01669 | 01/24/2014 | Claimant(s): Charles Frank
Claimant Lawyers(s): Charles W. Frank
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Joelle A. Simms
Arbitrator(s): Christine L. Stetson
Hearing Site: Houston, TX
|  | Expungement |
| 13-01711 | 12/23/2013 | Claimant(s): Terry Maresh
Claimant Lawyers(s): Terry D. Maresh
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Felde Hoffman
Arbitrator(s): Randall W Heinrich
Hearing Site: Houston, TX
| | $825 |
| 12-00155 | 12/20/2013 | Claimant(s): Kay Whitney, Leon Whitney
Claimant Lawyers(s): Susan R. Healy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Rebecca E. Swenson
Arbitrator(s): Tim S. Hartzell, Charles E. Munson, Arno C. Schwethelm
Hearing Site: Houston, 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 |
| 12-01485 | 12/18/2013 | Claimant(s): Gaile Withers
Claimant Lawyers(s): Cynthia R. Levin Moulton
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Rebecca Swenson
Arbitrator(s): Jeffrey R. Jury, Michael S. Yauch, Michael Louis Goldstone
Hearing Site: Houston, TX
| | Expungement |
| 13-00984 | 12/13/2013 | Claimant(s): Caron Gallier, Deborah Harrison, Kathy Temple, Vernon Gallier, Caron Gallier IRA, Deborah Harrison IRA, Kathy Temple IRA, Jr. IRA
Claimant Lawyers(s): Robert A. Kantas
Respondent(s): Lincoln Financial Securities Corporation, Woodbury Financial Services.
Respondent Lawyers(s): Ami Shah, Jason A. Richardson
Arbitrator(s): David G. Beerbower, Robert Charles Morrison, Julie Marie Miller
Hearing Site: Houston, TX
| | $0 |
| 12-00074 | 12/09/2013 | Claimant(s): William Frisco
Claimant Lawyers(s): Brian E. Bro
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Carole Miller
Arbitrator(s): Gary D. Danna, Christine L. Stetson, Alan M. Holzberg
Hearing Site: Houston, TX
| | |
| 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
| | |
| 11-00472 | 11/27/2013 | Claimant(s): Karl Steffes, Susan Steffes, Karl Steffes IRA Rollover
Claimant Lawyers(s): Seth E. Lipner
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): Philip I. McConnell, Charles S. Chester, Brian James Tagtmeier
Hearing Site: Houston, TX
| | Expungement |
| 11-00790 | 11/20/2013 | Claimant(s): John Ginsburg
Claimant Lawyers(s): Daniel J. Goldberg
Respondent(s): Christa Burgett, Morgan Stanley, Lisa Creegan, Manny Canales, Mary Mullis
Respondent Lawyers(s): Nancy L. Patterson
Arbitrator(s): W. Merrill Glasgow, Jerry C. Prestridge, Carol Akers Klug
Hearing Site: Houston, TX
| | |
