17-00611 | 04/15/2019 | Claimant(s): Neal Carlson Claimant Lawyers(s): Leonard J. Meyer Respondent(s): Credit Suisse Securities (USA) LLC Respondent Lawyers(s): David J. Clark Arbitrator(s): Brian James Tagtmeier, Gary Jason Fischman, R. Michelle Boldon Hearing Site: Houston, TX
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18-01132 | 02/11/2019 | Claimant(s): Robert Buchanan Claimant Lawyers(s): Joelle Simms 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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16-01339 | 10/24/2017 | Claimant(s): James Bashaw, Jeb & Co. Claimant Lawyers(s): David B. Cosgrove Respondent(s): LPL Financial LLC, Mark Casady Respondent Lawyers(s): Rodney Acker Arbitrator(s): Peter Benz Dickens, Alan M. Holzberg, Brian James Tagtmeier Hearing Site: Houston, TX
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17-01771 | 09/21/2017 | Claimant(s): Farhood Kasiri Claimant Lawyers(s): David Hantman 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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16-02985 | 08/07/2017 | Claimant(s): Kevin Kugley Claimant Lawyers(s): Adam Charles Nicolai Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Kathryn D. Perreault Arbitrator(s): Timothy L. Andrews, Jeffrey R. Jury, Brian James Tagtmeier Hearing Site: Houston, TX
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16-02029 | 05/22/2017 | Claimant(s): Wells Fargo Advisors Claimant Lawyers(s): Jack D. Ballard Respondent(s): Robyn Fain Respondent Lawyers(s): Joshua F. Bugos Arbitrator(s): Theron L. Vanlandingham, Allan R. Lazor, Brian James Tagtmeier Hearing Site: Oklahoma City, OK
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16-02078 | 05/19/2017 | Claimant(s): William Leven Claimant Lawyers(s): Scott Rahn Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Katie M. Kimbrell Arbitrator(s): Brian James Tagtmeier Hearing Site: Houston, TX
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15-03489 | 03/27/2017 | Claimant(s): James Robertson Claimant Lawyers(s): Mike Aduddell Respondent(s): LPL Financial LLC Respondent Lawyers(s): Jack D. Ballard Arbitrator(s): Larry J. Sklar, Brian James Tagtmeier, Julie Marie Miller Hearing Site: Houston, TX
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13-02721 | 05/23/2014 | Claimant(s): Edward Heartfield, Karen Transier Claimant Lawyers(s): Matthew E Wolper Respondent(s): Frank Levy Respondent Lawyers(s): Lance C. McCardle Arbitrator(s): Brian James Tagtmeier Hearing Site: New Orleans, LA
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12-01023 | 05/10/2013 | Claimant(s): Wells Fargo Advisors Claimant Lawyers(s): Jack D. Ballard Respondent(s): Jocelyn Sears Respondent Lawyers(s): Katherine T. Mize Arbitrator(s): John A. Davis, Jack Chapline Vaughan, Brian James Tagtmeier Hearing Site: Houston, TX
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