| 21-01551 | 01/18/2022 | Claimant(s): Dwayne Tidwell
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Stanford Group Company
Respondent Lawyers(s): Ralph S. Janvey, Receiver, W. Preston Martin
Arbitrator(s): Lynne M. Gomez, Maurice J. Fallas, William James Smith
Hearing Site: Houston, TX
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| 14-02820 | 07/18/2017 | Claimant(s): Landon Marino, Shawn Walker, Travis Knapp, William Coffey
Claimant Lawyers(s): Samuel B. Edwards
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): Maurice J. Fallas, Allan R. Lazor, Shannon Lyn Mays
Hearing Site: Houston, TX
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| 14-01426 | 04/14/2015 | Claimant(s): Scott Coombes
Claimant Lawyers(s): Scott Browning Coombes
Respondent(s): Carol Reinking, Valic Financial Advisors.
Respondent Lawyers(s): Carol Reinking, Kortney S. Farmer
Arbitrator(s): Oren L. Connaway, Maurice J. Fallas, Daniel Stephen Dexter
Hearing Site: Houston, TX
| | Expungement |
| 09-04663 | 06/21/2011 | Claimant(s): Robert Bagby
Claimant Lawyers(s): Robert L. Bagby
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Thomas D. Cordell
Arbitrator(s): Eli Bensky, Charles A. Bankston, Maurice J. Fallas
Hearing Site: Houston, TX
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| 10-00727 | 03/08/2011 | Claimant(s): Morgan Keegan & Company.
Claimant Lawyers(s): Shea O'Brien Hicks
Respondent(s): John Stearns
Respondent Lawyers(s): Donald M. Feferman
Arbitrator(s): David G. Beerbower, Jeff Kilgore, Maurice J. Fallas
Hearing Site: Houston, TX
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| 07-01778 | 07/28/2008 | Claimant(s): Citigroup Global Markets., Citigroup Global Markets Holdings.
Claimant Lawyers(s): W. Jerad Rissler
Respondent(s): Ernest Elam
Respondent Lawyers(s): Ernest P. Elam
Arbitrator(s): Timothy L. Andrews, Maurice J. Fallas, Gary L. Foose
Hearing Site: Houston, TX
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