| 09-02096 | 10/05/2009 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): John T. McGuire
Respondent(s): Gregory Eknoyan
Respondent Lawyers(s): Gregory Winston Eknoyan
Arbitrator(s): Gregory E. Muenster
Hearing Site: Houston, TX
| | |
| 08-02698 | 08/12/2009 | Claimant(s): Gary Mayes, Estate of Elwin D. Mayes, Gary Brent May
Claimant Lawyers(s): Marnie C. Lambert
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Stacey M. Garrett
Arbitrator(s): Frank M. Romano, Christine Winn Powell, William A. Allen
Hearing Site: Houston, TX
|  | $116,000 |
| 08-00397 | 06/18/2009 | Claimant(s): Elizabeth Gayle
Claimant Lawyers(s): J. Mark Brewer
Respondent(s): Wachovia Securities, Ryan Wrobleske, Prudential Equity Group
Respondent Lawyers(s): Retta E. Miller
Arbitrator(s): Dolores M Martin, Richard F. Dole, Malcolm Edwin Whittaker
Hearing Site: Houston, TX
| | $4,920 |
| 04-04494 | 06/12/2009 | Claimant(s): Tim Bell
Claimant Lawyers(s): William B. Young
Respondent(s): Citigroup Global Markets., Jack B. Grubman
Respondent Lawyers(s): Mark L Parmelee
Arbitrator(s): Richard P. Flake
Hearing Site: Houston, TX
| | $36,517 |
| 08-00858 | 06/05/2009 | Claimant(s): Alan Meinen, Jane Meinen, The Meinen Family Partnership, Ltd.
Claimant Lawyers(s): Melanie D. Bragg
Respondent(s): Shawn Goheen, American General Securities Incorporated
Respondent Lawyers(s): David K. Bissinger, Melinda Lucas Peevy
Arbitrator(s): Raymond C. Kerr, James E. Lane, Mark Edward Tredennick
Hearing Site: Houston, TX
| | $1,301,250 |
| 05-03288 | 04/23/2009 | Claimant(s): TIG Limited
Claimant Lawyers(s): Marcus L. Stevenson
Respondent(s): Charles O'Connell, Wachovia Securities, Lance Roberts, Arista Enterprises.
Respondent Lawyers(s): Christopher A. Fusselman, Judy Louie
Arbitrator(s): Morris Rubin, Don K. Leufven, William A. Allen
Hearing Site: Houston, TX
| | $0 |
| 08-04208 | 04/22/2009 | Claimant(s): Riverstone Wealth Management.
Claimant Lawyers(s): Marc L. Lippincott
Respondent(s): Jacob Carriker
Respondent Lawyers(s): Jacob Stevenson Carriker
Arbitrator(s): Donald K. Eckhardt
Hearing Site: Houston, TX
| | |
| 07-02813 | 04/17/2009 | Claimant(s): Mary Colunga
Claimant Lawyers(s): William Hopkins
Respondent(s): Andrew Longoria, Capital Financial Services., GunnAllen Financial., LRS Investments
Respondent Lawyers(s): Janiece M. Longoria, Jay Marc Israel, Robert Tyler
Arbitrator(s): Morris Rubin, Sherry R. Wetsch, Larry J. Craddock
Hearing Site: Houston, TX
| | $47,500 |
| 08-01009 | 04/16/2009 | Claimant(s): Cass Shewbart
Claimant Lawyers(s): Cass Shewbart
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Diane M. Brown
Arbitrator(s): George A. Sellnau
Hearing Site: Houston, TX
| | $5,213 |
| 07-02439 | 04/14/2009 | Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Thomas A. Volz
Respondent(s): Randal Spears
Respondent Lawyers(s): Randal W. Spears
Arbitrator(s): Theodore E. Davis, Eli Bensky, Gary L. Foose
Hearing Site: Houston, TX
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