| 10-03943 | 07/18/2013 | Claimant(s): Timothy Stephens
Claimant Lawyers(s): Matthew B. Henneman
Respondent(s): Walter Schneider, Barclays Capital Inc., Barclays Wealth
Respondent Lawyers(s): Jack D. Ballard
Arbitrator(s): Larry J. Sklar, Daniel J. Pagnano, Deirdre Renee Fuller
Hearing Site: Houston, TX
|  | Amended Stipulated Award and Expungement |
| 13-00105 | 07/17/2013 | Claimant(s): Morgan Stanley, Morgan Stanely Smith Barney FA Notes
Claimant Lawyers(s): Jonathan Berg, Esq.
Respondent(s): David Naumann
Respondent Lawyers(s): David M. Naumann
Arbitrator(s): Bertrand C. Moser
Hearing Site: Houston, TX
| | |
| 12-01470 | 06/21/2013 | Claimant(s): Michael Saunders, Yvonne Saunders
Claimant Lawyers(s): Leonard Meyer
Respondent(s): Adam Suhr, Wells Fargo Investments, John Wingate, Ross Friend, Strategic Financial Concepts
Respondent Lawyers(s): Gary S. Kessler, R. Rene Escobedo, Robyn Silvermintz
Arbitrator(s): William Edward Buck, Deirdre Renee Fuller, Allan R. Lazor
Hearing Site: Houston, TX
| | $75,300 |
| 11-02862 | 05/22/2013 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): Joseph Dunn
Respondent Lawyers(s): Joseph Dunn
Arbitrator(s): Jeff Kilgore
Hearing Site: Houston, TX
| | |
| 12-01023 | 05/10/2013 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Jack D. Ballard
Respondent(s): Jocelyn Sears
Respondent Lawyers(s): Katherine T. Mize
Arbitrator(s): John A. Davis, Jack Chapline Vaughan, Brian James Tagtmeier
Hearing Site: Houston, TX
| | |
| 12-03681 | 05/06/2013 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Keara K. Roethke
Respondent(s): Craig Buhr
Respondent Lawyers(s): Craig Joseph Buhr
Arbitrator(s): Philip I. McConnell
Hearing Site: Houston, TX
| | |
| 11-04652 | 05/03/2013 | Claimant(s): LPL Financial LLC
Claimant Lawyers(s): David S. Markun
Respondent(s): Paul Jacobs
Respondent Lawyers(s): Paul Joseph Jacobs
Arbitrator(s): Christine L. Stetson
Hearing Site: Houston, TX
| | |
| 11-03496 | 04/19/2013 | Claimant(s): Ernest Gomez, Kim Gomez, KEGZ Interests LP Defined Benefit Plan
Claimant Lawyers(s): Christopher Mader
Respondent(s): Wells Fargo Investments
Respondent Lawyers(s): Brent J. Burtin
Arbitrator(s): Thomas D. Nagle, William Edward Buck, Montie G. Grimes
Hearing Site: Houston, TX
| | Expungement |
| 12-03398 | 04/05/2013 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): Dylan Grayson
Respondent Lawyers(s): Dylan Patrick Grayson
Arbitrator(s): Lynne M. Gomez
Hearing Site: Houston, TX
| | |
| 10-04993 | 03/28/2013 | Claimant(s): Alberta Thornhill
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Banc of America Investment Services Inc., Capital One Investment Services LLC
Respondent Lawyers(s): Genna Stephens, Todd Ratner
Arbitrator(s): George A. Sellnau, Jonathan Burke Rada, William R. Jonson
Hearing Site: Houston, TX
| | Expungement |
