| 11-01469 | 09/07/2012 | Claimant(s): William Sheka
Claimant Lawyers(s): Nicholas J Guiliano
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): R. Lee Britton Jr.
Hearing Site: Houston, TX
|  | Expungement |
| 11-01644 | 08/17/2012 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Jeffrey Zimmerman
Respondent(s): Richard Swetish
Respondent Lawyers(s): Christopher A. Dorsey
Arbitrator(s): Sherry R. Wetsch, Brian E. Bro, James E. Lane
Hearing Site: Houston, TX
| | |
| 10-01756 | 08/16/2012 | Claimant(s): Frank Carroll
Claimant Lawyers(s): John R. Strawn
Respondent(s): Muhammad Khan, Bluechip Securities.
Respondent Lawyers(s): Muhammad A. Khan, President
Arbitrator(s): R. Lee Britton Jr., Carol Frances Relihan, Camille Morris Tankersley
Hearing Site: Houston, TX
| | $446,130 |
| 12-00396 | 07/18/2012 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Jeffrey Riley
Respondent Lawyers(s): Jeffrey S Riley
Arbitrator(s): Thomas D. Nagle
Hearing Site: Houston, TX
| | |
| 11-03046 | 06/14/2012 | Claimant(s): Claude Berwick, Sheila Berwick, Claude R. Berwick IRA, Sheila C. Berwick IRA
Claimant Lawyers(s): William S. Shepherd
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Martha F. McDugald
Arbitrator(s): William Edward Buck, Stephen James Cavanaugh, Montie G. Grimes
Hearing Site: Houston, TX
| | $70,000 |
| 11-00253 | 05/29/2012 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Jason E. Murtagh
Respondent(s): Christopher Coulter
Respondent Lawyers(s): Jonathan C. Andresen
Arbitrator(s): George A. Sellnau
Hearing Site: Houston, TX
| | |
| 11-01972 | 05/29/2012 | Claimant(s): Bill Loomis, Sharon Loomis, Bill Loomis IRRA
Claimant Lawyers(s): Chris Bell
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Casey L. Moore
Arbitrator(s): Juanita D. McKethan, Larry J. Craddock, Martin Epner
Hearing Site: Houston, TX
| | Expungement |
| 11-01743 | 05/25/2012 | Claimant(s): Blake Pratz
Claimant Lawyers(s): John L. Grayson
Respondent(s): Kirstin Turner, Morgan Stanley, Rose Cook
Respondent Lawyers(s): Nancy L. Patterson
Arbitrator(s): Vernon Keith Roberts, William Edward Buck, Michael S. Wilk
Hearing Site: Houston, TX
| | |
| 10-04990 | 05/22/2012 | Claimant(s): CSJ Family Partnership Ltd.
Claimant Lawyers(s): J. Mitchell Clark
Respondent(s): Morgan Stanley & Co., Morgan Stanley DW Inc., Morgan Stanley
Respondent Lawyers(s): Jonathan D. Robbins
Arbitrator(s): Ronald R. Simpson, Frank M. Romano, Donald K. Eckhardt
Hearing Site: Houston, TX
| | $0 |
| 11-01766 | 05/09/2012 | Claimant(s): Karen O'Neill, Timothy O'Neill
Claimant Lawyers(s): Leonard J. Meyer
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Thomas M. Gregor
Arbitrator(s): Jerry C. Prestridge
Hearing Site: Houston, TX
| | $96,825 |
