| 19-02869 | 12/21/2020 | Claimant(s): Gadberry Financial Group LLC
Claimant Lawyers(s): Keith I. Billingsley
Respondent(s): Thomas Schallhorn
Respondent Lawyers(s): L. Kyle Heffley
Arbitrator(s): R Lee Britton, Bill Lamoreaux, David B. Kress
Hearing Site: Little Rock, AR
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| 17-03279 | 07/01/2019 | Claimant(s): Christopher Johnson, Lee Przybyla
Claimant Lawyers(s): Jonah Toleno
Respondent(s): USAA Financial Advisors.
Respondent Lawyers(s): Michael R. Greco
Arbitrator(s): R Lee Britton, Irving Sylvester Moses, Stephanie E. Simmons
Hearing Site: Houston, TX
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| 17-01257 | 08/22/2018 | Claimant(s): Raul Mendez
Claimant Lawyers(s): W. Fulton Broemer
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Thomas F. Barnett
Arbitrator(s): R. Lee Britton Jr.
Hearing Site: Houston, TX
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| 14-02301 | 11/06/2015 | Claimant(s): Paula Mott
Claimant Lawyers(s): Sanford L. Dow
Respondent(s): Wunderlich Securities.
Respondent Lawyers(s): Jonathan Cromwell Hancock
Arbitrator(s): R. Lee Britton Jr., John F. Hinrichs, Julie Marie Miller
Hearing Site: Houston, TX
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| 13-00784 | 03/04/2015 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Michael R. Greco
Respondent(s): Connie Mack, Mark Blom, Richard Rosso
Respondent Lawyers(s): Clinton W. Marrs
Arbitrator(s): R. Lee Britton Jr., Carol Akers Klug, Steven Dale Smit
Hearing Site: Houston, TX
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| 11-02570 | 11/11/2013 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes FA
Claimant Lawyers(s): Sophie I. Myers
Respondent(s): Cynthia Barrera
Respondent Lawyers(s): Cynthia Marie Barrera
Arbitrator(s): R. Lee Britton Jr.
Hearing Site: Houston, TX
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| 10-01519 | 10/30/2012 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Erik Littlejohn
Respondent Lawyers(s): Cynthia R. Levin Moulton
Arbitrator(s): Leah A. Murray, R. Lee Britton Jr., Ross D. Friend
Hearing Site: Houston, TX
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| 10-04177 | 11/22/2011 | Claimant(s): Nick Bohmann
Claimant Lawyers(s): Nick R. Bohmann
Respondent(s): New England Securities, Marc Colby, Michael Priede, Metlife Securities Inc.
Respondent Lawyers(s): Ethan G. Zelizer
Arbitrator(s): R. Lee Britton Jr.
Hearing Site: Houston, TX
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