| 09-04033 | 07/14/2010 | Claimant(s): Scott Skinner
Claimant Lawyers(s): Brian D. Buckstein
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Audrey Y. Dupont
Arbitrator(s): Steve R. Neuman, Larry J. Sklar, Matthew G. Wylie
Hearing Site: Houston, TX
| | |
| 10-00872 | 07/14/2010 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Mary Jo Cantu
Respondent(s): Victor Bailey
Respondent Lawyers(s): Victor Bailey
Arbitrator(s): Mark A. Myers
Hearing Site: Houston, TX
| | |
| 09-02596 | 07/12/2010 | Claimant(s): Tommy Sausley
Claimant Lawyers(s): Tommy N. Sausley
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Thomas D. Cordell
Arbitrator(s): Philip I. McConnell, Mark A. Myers, Michele N. O'Brien
Hearing Site: Houston, TX
| | |
| 09-07165 | 07/08/2010 | Claimant(s): TD Ameritrade.
Claimant Lawyers(s): R. Matthew Ingraham
Respondent(s): Marc Labate
Respondent Lawyers(s): Marc A. Labate
Arbitrator(s): John K. Boyce
Hearing Site: Houston, TX
|  | $0 |
| 09-03513 | 06/18/2010 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Monica M. Littman
Respondent(s): Jason Cooney
Respondent Lawyers(s): Jason Cooney
Arbitrator(s): James R. Augustine, John Michael Watson, Nathan Levy
Hearing Site: Houston, TX
| | |
| 09-02511 | 06/10/2010 | Claimant(s): AJ Waight, Suann Waight
Claimant Lawyers(s): Mark Schwartz
Respondent(s): John Gorman, Robert Gillette, Tejas Securities Group., Tejas Securities.
Respondent Lawyers(s): Jamie Rose, Robert Edward Gillette, Thomas L. Branch
Arbitrator(s): Raymond C. Kerr, Carlton A. Butler, Austin Martin O'Toole
Hearing Site: Houston, TX
| | $0 |
| 09-01540 | 06/09/2010 | Claimant(s): Kelli Jo Korenek
Claimant Lawyers(s): Mark Schwartz
Respondent(s): James Korenek, Richard Alexander, Stephens Inc.
Respondent Lawyers(s): Janiece M. Longoria
Arbitrator(s): David G. Beerbower, William J. Kirkpatrick, Michael L. Landrum
Hearing Site: Houston, TX
| | $0 |
| 09-02538 | 05/28/2010 | Claimant(s): Marie Blomker, The Estate of Joseph W. Blomker, The Blomker Family Revocable Trust
Claimant Lawyers(s): Michael J. Stanley
Respondent(s): Michael Booker, Financial Synergies Asset Management,
Respondent Lawyers(s): Andrew P. Tower
Arbitrator(s): Tim S. Hartzell, Jeff Kilgore, Robert Alan Meyer
Hearing Site: Houston, TX
| | $0 |
| 08-04007 | 05/21/2010 | Claimant(s): Luby's Restaurants Limited Partnership
Claimant Lawyers(s): Roy Camberg
Respondent(s): Credit Suisse Securities (USA) LLC
Respondent Lawyers(s): Brian F. Amery
Arbitrator(s): Carol Ann Stapper, Larry J. Craddock, Allan R. Lazor
Hearing Site: Houston, TX
| | Auction Rate Securities related |
| 09-04616 | 05/20/2010 | Claimant(s): Next Financial Group.
Claimant Lawyers(s): Owen P. McGill
Respondent(s): Jeremy Mcgilvrey
Respondent Lawyers(s): Jeremy McGilvrey - SID# 469949
Arbitrator(s): Gregory E. Muenster
Hearing Site: Houston, TX
| | |
