| 19-01495 | 12/26/2019 | Claimant(s): Kimberly Ripoll
Claimant Lawyers(s): Brian E. Bro
Respondent(s): Francis O'Neill, RBC Capital Markets LLC
Respondent Lawyers(s): Lindsay E. Wuller
Arbitrator(s): Daniel J. Pagnano, Allan R. Lazor, Richard Roger Brewer
Hearing Site: Houston, TX
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| 19-01033 | 10/30/2019 | Claimant(s): Patrick Borecky
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Scottrade Inc.
Respondent Lawyers(s): Marcia A. Washkuhn
Arbitrator(s): Allan R. Lazor
Hearing Site: Little Rock, AR
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| 18-02295 | 07/23/2019 | Claimant(s): Troy Taylor
Claimant Lawyers(s): Troy Wayne Taylor
Respondent(s): Amegy Investments.
Respondent Lawyers(s): Thomas J. Press
Arbitrator(s): Allan R. Lazor
Hearing Site: Houston, TX
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| 17-01803 | 04/09/2018 | Claimant(s): Bryan Kaarlsen
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC, Next Financial Group.
Respondent Lawyers(s): John T. Unger, Jon D. Kaplon
Arbitrator(s): Allan R. Lazor
Hearing Site: Houston, TX
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| 16-00451 | 01/19/2018 | Claimant(s): Douglas Murrill
Claimant Lawyers(s): Kimberly Chavers
Respondent(s): Wells Fargo Investments
Respondent Lawyers(s): Jack D. Ballard
Arbitrator(s): Robert L. Rolnick, Allan R. Lazor, Kimberlee Kovach
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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| 16-02029 | 05/22/2017 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Jack D. Ballard
Respondent(s): Robyn Fain
Respondent Lawyers(s): Joshua F. Bugos
Arbitrator(s): Theron L. Vanlandingham, Allan R. Lazor, Brian James Tagtmeier
Hearing Site: Oklahoma City, OK
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| 16-02646 | 03/08/2017 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Jack D. Ballard
Respondent(s): Lejo Abraham
Respondent Lawyers(s): Lejo Abraham
Arbitrator(s): Allan R. Lazor
Hearing Site: Houston, TX
| | |
| 16-02028 | 11/14/2016 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Jack D. Ballard
Respondent(s): Emilio Guajardo
Respondent Lawyers(s): Emilio Guajardo
Arbitrator(s): Allan R. Lazor
Hearing Site: Houston, TX
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| 14-00519 | 12/30/2014 | Claimant(s): Danford Meischen
Claimant Lawyers(s): Jeffrey Glass
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jason K. Roberts
Arbitrator(s): Reginald Harris Brockwell, Allan R. Lazor, Jason Kyle Beale
Hearing Site: Houston, TX
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