| 08-02904 | 03/24/2009 | Claimant(s): Avraham Amit
Claimant Lawyers(s): Avraham R Amit
Respondent(s): Chase Investment Services Corp.
Respondent Lawyers(s): Sheila E. Carson
Arbitrator(s): Ray L. Cox
Hearing Site: Houston, TX
|  | $213 |
| 08-00217 | 03/17/2009 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Thomas D. Cordell
Respondent(s): Tommy Sausley
Respondent Lawyers(s): Tommy N. Sausley
Arbitrator(s): Bernard D. Hammer, Gregory E. Muenster, James M. Alexander
Hearing Site: Houston, TX
| | |
| 08-00346 | 02/23/2009 | Claimant(s): Robert Drake
Claimant Lawyers(s): Derek C. Anderson
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Felicity A. Fowler
Arbitrator(s): James R. Augustine, W. Merrill Glasgow, Richard F. Dole
Hearing Site: Houston, TX
| | |
| 07-02621 | 02/06/2009 | Claimant(s): Optionshouse.
Claimant Lawyers(s): Breck Harrison
Respondent(s): Amir Jivani, Daniel Rosenthal, James Halm, Raza Jivani, Robert Baldwin, Tycho Clayton, Interactive Brokers LLC, Penson Financial Services.
Respondent Lawyers(s): Breck Harrison, John J. Nielands, Jonathan D. Neerman, Richard J. Gerace
Arbitrator(s): Michael Hendryx, William Edward Buck, Maurice J. Fallas
Hearing Site: Houston, TX
| | $51,575 |
| 08-03084 | 02/03/2009 | Claimant(s): Cynthia Laughlin, Louis Hoggatt
Claimant Lawyers(s): Louis N. Hoggatt
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Walton L. Huff
Hearing Site: Houston, TX
| | $0 |
| 08-02368 | 01/28/2009 | Claimant(s): Robert Tillman
Claimant Lawyers(s): Robert Edward Tillman
Respondent(s): The Sonterra Group.
Respondent Lawyers(s): Roger Festor
Arbitrator(s): Ronald R. Simpson
Hearing Site: Houston, TX
| | |
| 07-02520 | 01/07/2009 | Claimant(s): T. Bradley Sprague & Jeannette Sprague
Claimant Lawyers(s): Douglass D. Hearne
Respondent(s): Steven Hill, Laidlaw & Company, Ltd.
Respondent Lawyers(s): C. Mark Stratton
Arbitrator(s): Jeff Kilgore, Charles S. Chester, Carol Frances Relihan
Hearing Site: Houston, TX
| | $297,051 |
| 07-03163 | 12/30/2008 | Claimant(s): Robert Bonds and Gilda Bonds
Claimant Lawyers(s): Dan K. Worthington
Respondent(s): Ameriprise Advisor Services., Robert Bullock
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): W. Merrill Glasgow, Timothy L. Andrews, William A. Allen
Hearing Site: Houston, TX
| | Expungement |
| 08-01014 | 12/18/2008 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): David Coffee
Respondent Lawyers(s): David S. Coffee
Arbitrator(s): John Michael Watson, William J. Kirkpatrick, Gary L. Foose
Hearing Site: Houston, TX
| | |
| 04-08590 | 12/03/2008 | Claimant(s): Kenneth Dean
Claimant Lawyers(s): Kenneth Eugene Dean
Respondent(s): Davis Denny, UBS Financial Services Inc., Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Angela A. Turiano, Davis M. Denny, Randi Perry Spallina
Arbitrator(s): Michael Hendryx, Charles S. Chester, Sandra Lea McNally
Hearing Site: Houston, TX
| | $0 |
