| 10-04201 | 03/02/2011 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Carolyn LaMar
Respondent(s): James May
Respondent Lawyers(s): K.S. Gator Dunn
Arbitrator(s): Malcolm Edwin Whittaker
Hearing Site: Houston, TX
| | |
| 09-05147 | 03/01/2011 | Claimant(s): MAXXAM Inc.
Claimant Lawyers(s): Jacks C. Nickens
Respondent(s): Kevin Laurie, Timothy Ford
Respondent Lawyers(s): Philip E. Cook
Arbitrator(s): Dolores M Martin, R. Lee Britton Jr., Joel H. Pullen
Hearing Site: Houston, TX
|  | $0 |
| 09-07075 | 03/01/2011 | Claimant(s): Roger Elswick
Claimant Lawyers(s): Travis C. Crowder
Respondent(s): Chase Investment Services Corp.
Respondent Lawyers(s): Bradley J. Johnson
Arbitrator(s): Alisa Ruth
Hearing Site: Houston, TX
| | $0 |
| 09-04752 | 02/25/2011 | Claimant(s): Investment Professionals.
Claimant Lawyers(s): Joseph B. Alonso
Respondent(s): Joshua Freeman
Respondent Lawyers(s): Royal B. Lea
Arbitrator(s): Dolores M Martin, Charles E. Munson, Frederick Randolph Box
Hearing Site: Houston, TX
| | |
| 08-04427 | 02/18/2011 | Claimant(s): TGS-NOPEC Geophysical Company
Claimant Lawyers(s): Todd A Higgins
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Timothy P. Burke
Arbitrator(s): Arno C. Schwethelm, Larry J. Craddock, Martin Epner
Hearing Site: Houston, TX
| | $525,000 |
| 07-01043 | 02/09/2011 | Claimant(s): Jean Hughes
Claimant Lawyers(s): Hal K. Gillespie
Respondent(s): Cantor Fitzgerald & Co.
Respondent Lawyers(s): Katherine E. Flanagan
Arbitrator(s): Preston A. Trimble, Thomas A. Martin, Charles S. Chester
Hearing Site: Houston, TX
| | |
| 09-04638 | 02/09/2011 | Claimant(s): Louis Liles
Claimant Lawyers(s): James A Dunlap
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): John-David Thomas
Arbitrator(s): Bertrand C. Moser, Charles E. Munson, Peter Benz Dickens
Hearing Site: Houston, TX
| | $81,291 |
| 10-03240 | 02/07/2011 | Claimant(s): Delayne Sigerman, Michael Sigerman
Claimant Lawyers(s): Michael Sigerman
Respondent(s): Wells Fargo Investments
Respondent Lawyers(s): Thomas F. Kopshever
Arbitrator(s): Raymond C. Kerr
Hearing Site: Houston, TX
| | $0 |
| 09-00313 | 01/28/2011 | Claimant(s): George Arzymanow and Christine Arzymanow
Claimant Lawyers(s): Kristin Wilkinson
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Payne L. Templeton
Arbitrator(s): Jeff Kilgore
Hearing Site: Houston, TX
| | $87,350 |
| 10-01172 | 01/24/2011 | Claimant(s): Thomas Muecke
Claimant Lawyers(s): Debra Brewer Hayes
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Charles A. Gall
Arbitrator(s): Daniel J. Pagnano
Hearing Site: Houston, TX
| | $0 |
