| 11-00299 | 05/03/2012 | Claimant(s): Edward Jones
Claimant Lawyers(s): Christopher A. Pickett
Respondent(s): Jason Reeves
Respondent Lawyers(s): Joel H. Thomas
Arbitrator(s): George A. Sellnau, Christine Winn Powell, Brian James Tagtmeier
Hearing Site: Houston, TX
| | |
| 11-01732 | 04/27/2012 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Christopher S. Griesmeyer
Respondent(s): Aaron Redding
Respondent Lawyers(s): Aaron Redding
Arbitrator(s): Thomas D. Nagle
Hearing Site: Houston, TX
| | |
| 10-05065 | 04/20/2012 | Claimant(s): Ray Monroy
Claimant Lawyers(s): Joe W. Beverly
Respondent(s): Benjamin Callahan, Wells Fargo Investments
Respondent Lawyers(s): Susan A. Logsdon
Arbitrator(s): Leonard J. Sullivan, Robert Dan Sherrill, Carol Ann Stapper
Hearing Site: Houston, TX
|  | Expungement |
| 10-05818 | 04/18/2012 | Claimant(s): Robert Higley
Claimant Lawyers(s): Earnest W. Wotring
Respondent(s): James Bashaw, JEB NEWCO, L.L.C., James E. Bashaw & Co.
Respondent Lawyers(s): David E. Wynne
Arbitrator(s): David G. Beerbower, Jack Chapline Vaughan, Stephen T. Johnson
Hearing Site: Houston, TX
| | |
| 11-01006 | 04/12/2012 | Claimant(s): Andy Shalit, Tresa Shalit
Claimant Lawyers(s): Todd A. Prins
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Brian C. Hale
Arbitrator(s): Charles E. Munson
Hearing Site: Houston, TX
| | Expungement |
| 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 |
| 11-01699 | 04/04/2012 | Claimant(s): Gerard Fusco
Claimant Lawyers(s): Gerard Fusco
Respondent(s): Ameriprise Financial Services., James Gioia
Respondent Lawyers(s): LaToyia K. Pierce
Arbitrator(s): William M. Lacy, Leonard J. Sullivan, Alan M. Holzberg
Hearing Site: Houston, TX
| | $0 |
| 11-03538 | 03/16/2012 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): Faisal Khan
Respondent Lawyers(s): Faisal David Khan
Arbitrator(s): Thomas D. Nagle
Hearing Site: Houston, TX
| | |
| 08-04742 | 03/16/2012 | Claimant(s): Corbin Robertson
Claimant Lawyers(s): Fletcher V. Trammell
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): G. Wayne Hillis
Arbitrator(s): Antoinette M. Romano, Carlton A. Butler, Allan R. Lazor
Hearing Site: Houston, TX
| | $206,107 |
| 10-05712 | 03/06/2012 | Claimant(s): Jack Laskey, Helen D. Laskey I.R.A., Jack R. Laskey I.R.A.
Claimant Lawyers(s): Mark C. Watler
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Retta A. Miller
Arbitrator(s): Ronald R. Simpson, Robert Dan Sherrill, Daniel J. Pagnano
Hearing Site: Houston, TX
| | $300 |
