22-00408 | 08/29/2023 | Claimant(s): Rafael Friederichsen Claimant Lawyers(s): S. Bruce Hiran Respondent(s): BBVA Securities Inc. Respondent Lawyers(s): John O. Lukanski Arbitrator(s): Daniel J. Pagnano, Brian James Tagtmeier, Katherine Parsley Hearing Site: Houston, TX
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21-02663 | 07/20/2022 | Claimant(s): Daniel Mercer Claimant Lawyers(s): Daniel Aaron Mercer Respondent(s): Raymond James Financial Services. Respondent Lawyers(s): Laura T. Ruiz Rivera Arbitrator(s): Stephen T. Johnson, Brian James Tagtmeier, Katherine Parsley Hearing Site: Houston, TX
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21-01598 | 04/14/2022 | Claimant(s): Christian Bauman, Patrick Mendenhall Claimant Lawyers(s): Dochtor Kennedy Respondent(s): USCA RIA LLC, USCA Securities LLC Respondent Lawyers(s): Therese L. Suprenant Arbitrator(s): Brian James Tagtmeier Hearing Site: Houston, TX
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21-01898 | 03/17/2022 | Claimant(s): William Crull Claimant Lawyers(s): Dochtor Kennedy Respondent(s): A. G. Edwards & Sons., FSC Securities Corporation, UBS Financial Services Inc. Respondent Lawyers(s): Andrew R. Park, Gregory Curley, John Murphy Arbitrator(s): Brian James Tagtmeier Hearing Site: New Orleans, LA
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20-01175 | 12/16/2021 | Claimant(s): John Palombo Claimant Lawyers(s): Michelle Atlas Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Rima F. Hartman Arbitrator(s): G. Maynard Green, Daniel J. Pagnano, Brian James Tagtmeier Hearing Site: Houston, TX
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20-03097 | 06/14/2021 | Claimant(s): Michael Calvin Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Joelle A. Simms Arbitrator(s): Brian James Tagtmeier Hearing Site: Houston, TX
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19-03758 | 07/24/2020 | Claimant(s): Dax McCraken Claimant Lawyers(s): Joelle A Simms Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Stuart Rebish Arbitrator(s): Brian James Tagtmeier Hearing Site: Houston, TX
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19-01080 | 10/31/2019 | Claimant(s): Benjamin Domingue Claimant Lawyers(s): Michael O'Gara Respondent(s): Edward Jones Respondent Lawyers(s): Darren Goodman Arbitrator(s): Brian James Tagtmeier Hearing Site: New Orleans, LA
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18-04223 | 07/23/2019 | Claimant(s): William Molfetto Claimant Lawyers(s): Joseph A. Vallo Respondent(s): Wells Fargo Clearing Services Respondent Lawyers(s): Patricia E. Cowart Arbitrator(s): John A. Dewald, Deirdre Renee Fuller, Brian James Tagtmeier Hearing Site: Houston, TX
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18-01433 | 05/23/2019 | Claimant(s): Mark Moore Claimant Lawyers(s): Coren H. Stern Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Craig A. Vollono Arbitrator(s): Brian James Tagtmeier Hearing Site: Houston, TX
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