| 10-03294 | 04/27/2011 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Kenneth O'Connor
Respondent(s): Kevin Mccoy
Respondent Lawyers(s): Kevin M. Mccoy
Arbitrator(s): Robert H. Putnam
Hearing Site: Houston, TX
| | |
| 10-05227 | 04/27/2011 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Ben Rosenberg
Respondent Lawyers(s): Ben Elliot Rosenberg
Arbitrator(s): Michael J. Ahlstrom
Hearing Site: Houston, TX
| | |
| 09-03912 | 04/19/2011 | Claimant(s): John Hogge
Claimant Lawyers(s): Mark Cohen
Respondent(s): A.G. Edwards & Sons.
Respondent Lawyers(s): Will S. Montgomery
Arbitrator(s): James G. Cooper, George A. Sellnau, Philip I. McConnell
Hearing Site: Houston, TX
|  | $0 |
| 10-02562 | 04/18/2011 | Claimant(s): Jerome Schwartz
Claimant Lawyers(s): Raymond E. White
Respondent(s): David Hayden, Nelsonreid.
Respondent Lawyers(s): K. Scott Brazil
Arbitrator(s): Morris Rubin, Thomas D. Nagle, William Edward Buck
Hearing Site: Houston, TX
| | $110,000 |
| 10-04943 | 04/14/2011 | Claimant(s): David Marconi
Claimant Lawyers(s): Michael Floreani
Respondent(s): Peter Amato
Respondent Lawyers(s): Peter Gaetano Amato
Arbitrator(s): Philip I. McConnell
Hearing Site: Houston, TX
| | $467,995 |
| 09-02124 | 04/08/2011 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Jack D. Ballard
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): Joseph A. Dougherty
Arbitrator(s): Frank M. Romano, William M. Lacy, Charles S. Chester
Hearing Site: Houston, TX
| | |
| 09-06655 | 03/09/2011 | Claimant(s): Adela Collado, Charles Colvin, Daniel Sears, Dawn Schuessler, Don Jones, Elizabeth Stein, Jimmy Burke, Jose Collado, Judy Strickland, Kenneth Sears, Nancy Gordon, Peggy Burke, Reine Sears, Richard Arispe, Shana Stein, Susan Hackney, Suzann Jones, Todd Burke, William Rhodes, C & C Erection Inc.
Claimant Lawyers(s): Paul J. Dobrowski
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Stephen C. Carlin
Arbitrator(s): Thomas A. Martin, Raymond C. Kerr, Maurice J. Fallas
Hearing Site: Houston, TX
| | $0 |
| 10-00727 | 03/08/2011 | Claimant(s): Morgan Keegan & Company.
Claimant Lawyers(s): Shea O'Brien Hicks
Respondent(s): John Stearns
Respondent Lawyers(s): Donald M. Feferman
Arbitrator(s): David G. Beerbower, Jeff Kilgore, Maurice J. Fallas
Hearing Site: Houston, TX
| | |
| 08-02913 | 03/08/2011 | Claimant(s): Grupo Internacional De Asesores, S.A.
Claimant Lawyers(s): Michael Zweiback
Respondent(s): Eduardo Bustani, Jane Bates, Ricardo Perusquia, Global Financial Services, L.L.P.
Respondent Lawyers(s): Alex J. Brown, Andrew R. Harvin
Arbitrator(s): John Michael Watson, Danielle L. Hargrove
Hearing Site: Houston, TX
| | Stipulated Award |
| 09-06020 | 03/07/2011 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Donald R. Littlefield
Respondent(s): William Livingston Coster
Respondent Lawyers(s): Leonard J. Meyer
Arbitrator(s): Maxel (Bud) B. Silverberg, Juanita D. McKethan, Marjorie C. Johnson
Hearing Site: Houston, TX
| | |
