| 11-00594 | 02/29/2012 | Claimant(s): Robert Elberger
Claimant Lawyers(s): Ronald M. Cohen
Respondent(s): Wells Fargo Investments, Jay Haley
Respondent Lawyers(s): Martha F. McDugald
Arbitrator(s): Thomas D. Nagle, Dale A. Hearn, Alan M. Holzberg
Hearing Site: Houston, TX
|  | $0 |
| 11-00184 | 02/23/2012 | Claimant(s): Lloyd Clark
Claimant Lawyers(s): Malinda Ann Gaul
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Denise Cotter Villani
Arbitrator(s): Kenneth M. Jackson, Juanita D. McKethan, Michael L. Landrum
Hearing Site: Houston, TX
| | |
| 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 |
| 10-05348 | 02/17/2012 | Claimant(s): Wells Fargo Investments
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Kenneth Horswell
Respondent Lawyers(s): Kenneth Alan Horswell
Arbitrator(s): James G. Cooper, Michael J. Ahlstrom, Jeff Kilgore
Hearing Site: Houston, TX
| | |
| 11-00520 | 02/10/2012 | Claimant(s): Bryan Farney
Claimant Lawyers(s): Shana M. Rugani
Respondent(s): Cathy Thornock, Christopher Duval, Russell Thornock, Uinta Investments.
Respondent Lawyers(s): Christopher Dean Duval, Russell D. Thornock
Arbitrator(s): William S. Hopkins
Hearing Site: Houston, TX
| | $50,000 |
| 10-03829 | 01/20/2012 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Edward C. Nowak
Respondent(s): Peggy Stavinoha
Respondent Lawyers(s): Reagan D. Pratt
Arbitrator(s): William R. Jonson
Hearing Site: Houston, TX
| | |
| 11-01776 | 01/20/2012 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Jessica G. Klein
Respondent(s): Kyle Cronan
Respondent Lawyers(s): Kyle Thomas Cronan
Arbitrator(s): Philip I. McConnell
Hearing Site: Houston, TX
| | |
| 11-01641 | 01/19/2012 | Claimant(s): Kristopher Mathis, U/W/O Harold J Mathis FBO
Claimant Lawyers(s): Harold J. Mathis
Respondent(s): Citigroup Global Markets., Joseph Calabrese
Respondent Lawyers(s): Karl L. Marquardt
Arbitrator(s): W. Merrill Glasgow
Hearing Site: Houston, TX
| | $0 |
| 11-01530 | 01/11/2012 | Claimant(s): Hung Tran
Claimant Lawyers(s): Barry G. Flynn
Respondent(s): Charles Hawkins, Chase Investment Services Corp.
Respondent Lawyers(s): Elin B. Young
Arbitrator(s): Michael S. Wilk
Hearing Site: Houston, TX
| | Expungement |
| 11-02350 | 01/10/2012 | Claimant(s): SWBC Investment Services
Claimant Lawyers(s): Retta A. Miller
Respondent(s): Greg Thompson, Titleist Asset Management, Ltd.
Respondent Lawyers(s): Royal B. Lea
Arbitrator(s): Linda Broocks, Arno C. Schwethelm, Lynne M. Gomez
Hearing Site: Houston, TX
| | |
