| 23-02833 | 06/14/2024 | Claimant(s): Kevin Wright, Shay Scruggs
Claimant Lawyers(s): Brent A. Burns
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): John Murphy
Arbitrator(s): Sherry R. Wetsch, Robert C. Rice, Bill Ray Haley
Hearing Site: Houston, TX
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| 22-02253 | 11/20/2023 | Claimant(s): Brian Stephens
Claimant Lawyers(s): Gary S. Kessler
Respondent(s): Avantax Investment Services.
Respondent Lawyers(s): Judith Knudsen
Arbitrator(s): Michael Edward Watts, Robert C. Rice, Kevin Colby
Hearing Site: Houston, TX
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| 22-02523 | 08/03/2023 | Claimant(s): Donald Terry
Claimant Lawyers(s): Brian Luther
Respondent(s): Principal Securities.
Respondent Lawyers(s): Destinee Campbell Small
Arbitrator(s): Robert C. Rice
Hearing Site: Houston, TX
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| 20-00109 | 03/07/2023 | Claimant(s): Nicholas Low
Claimant Lawyers(s): Rogge Dunn
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Jeffrey S. Dunlap
Arbitrator(s): Oren L. Connaway, Robert C. Rice, Mina Banerjee
Hearing Site: Houston, TX
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| 22-00365 | 08/10/2022 | Claimant(s): Alexander Ladage
Claimant Lawyers(s): Melissa J. Gworek
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Robert C. Rice
Hearing Site: Houston, TX
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| 19-01096 | 06/30/2022 | Claimant(s): Timothy Satre
Claimant Lawyers(s): Mark C. Sparks
Respondent(s): David Dick, David Wilson, Ameriprise Financial Services
Respondent Lawyers(s): Edward A. Walton
Arbitrator(s): Ronald L. Mullins, Robert C. Rice, David Aaron DeSoto
Hearing Site: Houston, TX
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| 20-00631 | 05/27/2021 | Claimant(s): US Capital Global Securities
Claimant Lawyers(s): George Murray Hudson
Respondent(s): Emerge Real Estate Group, Noble Capital Fund Management, Noble Capital Group, Noble Capital Servicing LLC, Streamline Funding Group
Respondent Lawyers(s): Jason M. Hopkins
Arbitrator(s): Robert C. Rice
Hearing Site: Houston, TX
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| 20-03032 | 01/15/2021 | Claimant(s): Mahesh Desai
Claimant Lawyers(s): Mahesh Desai
Respondent(s): Msi Financial Services.
Respondent Lawyers(s): Martin Harris
Arbitrator(s): Robert C. Rice
Hearing Site: Houston, TX
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