| 18-01371 | 02/12/2019 | Claimant(s): Rafael Locken-Testa
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Joelle A. Simms
Arbitrator(s): Daniel J. Pagnano
Hearing Site: Houston, TX
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| 18-01791 | 12/17/2018 | Claimant(s): Peter Wright
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Morgan Keegan & Company
Respondent Lawyers(s): Brandy Pikus
Arbitrator(s): Daniel J. Pagnano
Hearing Site: New Orleans, LA
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| 18-01414 | 08/13/2018 | Claimant(s): Morgan Stanley, Morgan Stanley FA Notes Holdings LLC
Claimant Lawyers(s): Joseph A. Cialone
Respondent(s): Vicente Davila
Respondent Lawyers(s): Vicente Davila
Arbitrator(s): Daniel J. Pagnano
Hearing Site: Houston, TX
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| 16-02429 | 05/12/2017 | Claimant(s): Kristopher Whitney
Claimant Lawyers(s): Kristopher C. Whitney
Respondent(s): NYLife Securities LLC, Carolyn Wagner, Edward Martinez, Jaime Garcia, Nancy Hunt
Respondent Lawyers(s): Carolyn Maureen Wagner, Edward O. Martinez, Jaime Eduardo Garcia, Mike G. Brown, Nancy L. Hunt
Arbitrator(s): Daniel J. Pagnano, Elena DiIorio, Curtis Jay Meador
Hearing Site: Houston, TX
| | Expungement |
| 16-02075 | 05/09/2017 | Claimant(s): William Leven
Claimant Lawyers(s): Scott E. Rahn
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Katie M. Kimbrell
Arbitrator(s): Daniel J. Pagnano
Hearing Site: Houston, TX
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| 12-00152 | 07/26/2013 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc., Merrill Lynch International Finance
Claimant Lawyers(s): Jason K. Roberts
Respondent(s): Danford Meischen
Respondent Lawyers(s): J.B. Trey Henderson
Arbitrator(s): Daniel J. Pagnano, Nichole C. Ake, Clark Willis Richards
Hearing Site: Houston, TX
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| 11-01973 | 10/05/2012 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael F. Braun
Respondent(s): Russell Eaton
Respondent Lawyers(s): Travis Eaton
Arbitrator(s): Daniel J. Pagnano
Hearing Site: Houston, TX
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| 08-02032 | 04/07/2010 | Claimant(s): Investment Professionals.
Claimant Lawyers(s): Christopher H. Tovar
Respondent(s): Kevin Mathis
Respondent Lawyers(s): Kevin Mathis
Arbitrator(s): John Michael Watson, Daniel J. Pagnano, Juanita D. McKethan
Hearing Site: Houston, TX
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