| 10-05101 | 12/22/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Brian S. Hormozi
Respondent(s): Edward Lawrence
Respondent Lawyers(s): Edward Lawrence
Arbitrator(s): J. Maxwell Williams
Hearing Site: Houston, TX
| | |
| 10-03903 | 12/19/2011 | Claimant(s): Leroy Hayes
Claimant Lawyers(s): Leroy Hayes
Respondent(s): Questar Capital Corporation
Respondent Lawyers(s): J. Jackson
Arbitrator(s): Charles A. Bankston, William Edward Buck, Stacey L. Barnes
Hearing Site: Houston, TX
| | |
| 10-04177 | 11/22/2011 | Claimant(s): Nick Bohmann
Claimant Lawyers(s): Nick R. Bohmann
Respondent(s): New England Securities, Marc Colby, Michael Priede, Metlife Securities Inc.
Respondent Lawyers(s): Ethan G. Zelizer
Arbitrator(s): R. Lee Britton Jr.
Hearing Site: Houston, TX
| | |
| 09-05754 | 11/22/2011 | Claimant(s): Mary Brown, Paul Allgyer
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Larry E. Mobley
Arbitrator(s): Jerry C. Prestridge, Nathan Levy, William Edward Buck
Hearing Site: Houston, TX
|  | Expungement |
| 10-03186 | 11/21/2011 | Claimant(s): Earl Duhon, Lillie Duhon
Claimant Lawyers(s): Thomas Kiehnoff
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Robert Shriver, Merrill Lynch Life Agency
Respondent Lawyers(s): Martha F. McDugald
Arbitrator(s): Mobley E. Cox, Richard F. Dole, Robert Alan Meyer
Hearing Site: Houston, TX
| | Expungement |
| 09-06504 | 11/16/2011 | Claimant(s): Patrick Mendenhall
Claimant Lawyers(s): Brian E. Bro
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Robert L. Ivey
Arbitrator(s): Nathan Levy, Jeff Kilgore, Mary Esther Escobedo
Hearing Site: Houston, TX
| | |
| 10-05102 | 11/15/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Brian S. Hormozi
Respondent(s): Robert David
Respondent Lawyers(s): Robert M. David
Arbitrator(s): John A. Davis
Hearing Site: Houston, TX
| | |
| 09-02552 | 11/14/2011 | Claimant(s): Fleming Endowment, Pelican Holdings, Ltd.
Claimant Lawyers(s): Dale Ledbetter
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): M. Jason Hale
Arbitrator(s): Karen Settle Newton, Jerry C. Prestridge, Alan M. Holzberg
Hearing Site: Houston, TX
| | $889,340 |
| 09-06181 | 11/04/2011 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Amy M. Fritsky
Respondent(s): Matt Neas
Respondent Lawyers(s): Matt S. Neas
Arbitrator(s): Jack Chapline Vaughan, Joseph Herbert Storthz, William A. Allen
Hearing Site: Houston, TX
| | |
| 10-05099 | 11/02/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Brian S. Hormozi
Respondent(s): Si Lee
Respondent Lawyers(s): Si Ball Lee
Arbitrator(s): J. Maxwell Williams
Hearing Site: Houston, TX
| | |
