| 12-00155 | 12/20/2013 | Claimant(s): Kay Whitney, Leon Whitney
Claimant Lawyers(s): Susan R. Healy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Rebecca E. Swenson
Arbitrator(s): Tim S. Hartzell, Charles E. Munson, Arno C. Schwethelm
Hearing Site: Houston, TX
|  | Expungement |
| 10-04481 | 03/15/2013 | Claimant(s): Frank Tsuru, Stephanie Tsuru
Claimant Lawyers(s): Scott D. Marrs
Respondent(s): Brodie Cobb, Colin Carter, Jerome Deren, Julie Helwig, Presidio Capital Advisors, Llc, Presidio Financial Partners, L.L.C., Presidio Wealth Management
Respondent Lawyers(s): Jennifer Evans Morris
Arbitrator(s): Linda Broocks, David G. Beerbower, Arno C. Schwethelm
Hearing Site: Houston, TX
| | Expungement |
| 11-02350 | 01/10/2012 | Claimant(s): SWBC Investment Services
Claimant Lawyers(s): Retta A. Miller
Respondent(s): Greg Thompson, Titleist Asset Management, Ltd.
Respondent Lawyers(s): Royal B. Lea
Arbitrator(s): Linda Broocks, Arno C. Schwethelm, Lynne M. Gomez
Hearing Site: Houston, TX
| | |
| 09-03627 | 08/04/2011 | Claimant(s): The Wilhelmina R. Smith Estate, WCR Family Limited Partnership
Claimant Lawyers(s): Fletcher V. Trammell
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): David G. Russell
Arbitrator(s): Robert M. Birenbaum, Arno C. Schwethelm, Phillip M. Renfro
Hearing Site: Houston, TX
| | $555,400 |
| 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 |
| 09-03366 | 09/02/2010 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Justin A. Goldberg
Respondent(s): Angela Roark
Respondent Lawyers(s): Angela M. Roark
Arbitrator(s): Bertrand C. Moser, Arno C. Schwethelm, Marjorie C. Johnson
Hearing Site: Houston, TX
| | |
| 09-04585 | 07/30/2010 | Claimant(s): Benjamin Mathis, Harold Mathis
Claimant Lawyers(s): Benjamin Mathis, Harold Mathis
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Joseph L. Calabrese
Arbitrator(s): Donald K. Eckhardt, Arno C. Schwethelm, William A. Wilson
Hearing Site: Houston, TX
| | $25,000 |
