| 23-00356 | 05/23/2023 | Claimant(s): Morgan Stanley, Morgan Stanley FA Notes Holdings LLC
Claimant Lawyers(s): Erin Friel Elmore
Respondent(s): Ramon Perez
Respondent Lawyers(s): Ramon Paul Perez
Arbitrator(s): Lynne M. Gomez
Hearing Site: Houston, TX
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| 22-01316 | 01/13/2023 | Claimant(s): David Smith
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Katelyn H. Wilson
Arbitrator(s): Lynne M. Gomez
Hearing Site: Houston, TX
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| 21-02355 | 07/25/2022 | Claimant(s): Randy Nelson
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Leyla Bari
Arbitrator(s): Lynne M. Gomez
Hearing Site: Houston, TX
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| 21-02048 | 04/21/2022 | Claimant(s): Guy Clayton
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): W. Preston Martin
Arbitrator(s): Lynne M. Gomez
Hearing Site: Houston, TX
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| 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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| 21-00449 | 11/12/2021 | Claimant(s): Jude Offiah
Claimant Lawyers(s): Zachary T. Hayes-Macaluso
Respondent(s): Woodbury Financial Services., Tandem Securities.
Respondent Lawyers(s): James V. Noblett, Kristopher Miller
Arbitrator(s): Lynne M. Gomez
Hearing Site: Oklahoma City, OK
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| 21-00900 | 10/22/2021 | Claimant(s): Adam Lampe
Claimant Lawyers(s): Stephan Louviere
Respondent(s): Proequities.
Respondent Lawyers(s): Jennifer M. Moore
Arbitrator(s): Lynne M. Gomez
Hearing Site: Houston, TX
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| 20-03151 | 09/14/2021 | Claimant(s): Matthew West
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): USCA RIA LLC, USCA Securities LLC
Respondent Lawyers(s): Therese L. Surprenant
Arbitrator(s): Lynne M. Gomez
Hearing Site: Houston, TX
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| 21-00325 | 08/24/2021 | Claimant(s): Kelly Chimera
Claimant Lawyers(s): Steven J. Berry
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Jeff Palmer
Arbitrator(s): Lynne M. Gomez
Hearing Site: Houston, TX
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| 21-00863 | 08/12/2021 | Claimant(s): Michael Rudelson
Claimant Lawyers(s): Cynthia R Moulton
Respondent(s): Kestra Investment Services
Respondent Lawyers(s): Shawn Shook
Arbitrator(s): Lynne M. Gomez
Hearing Site: Houston, TX
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