| 19-03609 | 04/03/2020 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Jack D. Ballard
Respondent(s): Juan Uribe
Respondent Lawyers(s): Juan Uribe
Arbitrator(s): Raymond C. Kerr
Hearing Site: Houston, TX
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| 19-01419 | 12/06/2019 | Claimant(s): Michael Rodriguez
Claimant Lawyers(s): Rogge Dunn
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah Yates
Arbitrator(s): Raymond C. Kerr, Robert J. Gregory, Colleen Margaret Baker
Hearing Site: Oklahoma City, OK
| | |
| 19-00362 | 08/12/2019 | Claimant(s): Securities America.
Claimant Lawyers(s): Tyler J. Schubauer
Respondent(s): Rodrick Dow
Respondent Lawyers(s): Rodrick Wayne Dow
Arbitrator(s): Raymond C. Kerr
Hearing Site: Houston, TX
| | |
| 18-00519 | 10/25/2018 | Claimant(s): Iain Sharpe
Claimant Lawyers(s): Matthew B. Henneman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): Raymond C. Kerr
Hearing Site: Houston, TX
| | |
| 16-03445 | 08/15/2017 | Claimant(s): Alfred Kovacs
Claimant Lawyers(s): Anthony J. Borrelli
Respondent(s): Susan Beyer, Vernon Beyer, The Beyer 2014 Trust, The VEB Trust, The Vernon Beyer Descendant Trust
Respondent Lawyers(s): John L. Dagley
Arbitrator(s): Raymond C. Kerr
Hearing Site: Houston, TX
| | Expungement |
| 16-02077 | 07/19/2017 | Claimant(s): William Leven
Claimant Lawyers(s): Scott E. Rahn
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Katie M. Kimbrell
Arbitrator(s): Raymond C. Kerr
Hearing Site: Houston, TX
| | |
| 13-01372 | 03/12/2014 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Jack D. Ballard
Respondent(s): Jaime Morales
Respondent Lawyers(s): Jaime Morales
Arbitrator(s): Raymond C. Kerr
Hearing Site: Houston, TX
| | |
| 12-01859 | 10/16/2013 | Claimant(s): Joan Teachworth, Walter Teachworth
Claimant Lawyers(s): Mark C. Watler
Respondent(s): Charles Schwab & Co.., Charles Schwab Investment Management,
Respondent Lawyers(s): Michael West
Arbitrator(s): Mary Ann Tunick, Thomas A. Cipolla, Raymond C. Kerr
Hearing Site: Houston, TX
| | Expungement |
| 13-01378 | 09/04/2013 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): R. Rhett Owens
Respondent(s): Chadrick Kelly
Respondent Lawyers(s): Chadrick D. Kelly
Arbitrator(s): Raymond C. Kerr
Hearing Site: New Orleans, LA
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| 11-04621 | 11/08/2012 | Claimant(s): Morgan Keegan & Company.
Claimant Lawyers(s): William McCourt Schmitt
Respondent(s): George Popov
Respondent Lawyers(s): L. Jerome Stanley
Arbitrator(s): Raymond C. Kerr
Hearing Site: New Orleans, LA
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