| 08-02766 | 03/08/2010 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): James Porter
Respondent Lawyers(s): Jason A. Richardson
Arbitrator(s): Robert M. Birenbaum, William Edward Buck, Jeffrey R. Jury
Hearing Site: Houston, TX
| | |
| 09-02561 | 03/05/2010 | Claimant(s): Rose Weisz
Claimant Lawyers(s): Robert E. Goodman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Paul D. Flack
Arbitrator(s): Joshua D. Wallach, Larry J. Craddock, Brian James Tagtmeier
Hearing Site: Houston, TX
|  | $0 |
| 09-06178 | 02/26/2010 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Jeffrey M. Csercsevits
Respondent(s): David Raack
Respondent Lawyers(s): David Raack
Arbitrator(s): Robert H. Putnam
Hearing Site: Houston, TX
| | |
| 08-01986 | 02/19/2010 | Claimant(s): Abraham Macias
Claimant Lawyers(s): William Kimball
Respondent(s): Eric Wolfe, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Donald R. Littlefield
Arbitrator(s): David G. Beerbower, John F. Hinrichs, Lynne M. Gomez
Hearing Site: Houston, TX
| | $63,617 |
| 09-04503 | 02/11/2010 | Claimant(s): Bernadette Harper
Claimant Lawyers(s): Bernadette Harper
Respondent(s): Dean Wolpert, BBVA Compass Investment Solutions
Respondent Lawyers(s): David A. Lester
Arbitrator(s): Walton L. Huff
Hearing Site: Houston, TX
| | $0 |
| 09-02618 | 01/25/2010 | Claimant(s): Morgan Keegan & Company.
Claimant Lawyers(s): Shea O'Brien Hicks
Respondent(s): Frederick Routon
Respondent Lawyers(s): Frederick H. Routon
Arbitrator(s): James M. Alexander
Hearing Site: Houston, TX
| | |
| 09-03100 | 01/25/2010 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): Will Rogers
Respondent Lawyers(s): Will T. Rogers
Arbitrator(s): Timothy L. Andrews
Hearing Site: Houston, TX
| | |
| 08-01287 | 01/22/2010 | Claimant(s): A. Kovacs
Claimant Lawyers(s): Brian E. Bro
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): N. Nancy Ghabai
Arbitrator(s): Mark C. Watler, James A. Parker, Matthew Crump
Hearing Site: Houston, TX
| | |
| 08-04652 | 01/06/2010 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Jonathan E. Levine
Respondent(s): Lisa Alvarado
Respondent Lawyers(s): Jennifer L. Bergman
Arbitrator(s): Mobley E. Cox, Martin Samuel Altimore, JoAnn McEwan
Hearing Site: Houston, TX
| | |
| 08-04559 | 12/23/2009 | Claimant(s): James R. Smith and Carol A. Smith
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Susan A. Logsdon
Arbitrator(s): Mary Ann Tunick, Charles E. Munson, Michael S. Yauch
Hearing Site: Houston, TX
| | $123,324 |
