| 16-03448 | 03/01/2018 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s): Vincent Canzoneri
Respondent Lawyers(s): Vincent Canzoneri
Arbitrator(s): William R. Jonson
Hearing Site: Houston, TX
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| 17-02639 | 01/22/2018 | Claimant(s): Kestra Investment Services
Claimant Lawyers(s): Gary S. Kessler
Respondent(s): Chuck Hilliard
Respondent Lawyers(s): Chuck J. Hilliard
Arbitrator(s): Thomas A. Martin
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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| 15-03034 | 01/09/2018 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Jeffrey M. Csercsevits
Respondent(s): Michael Hopper
Respondent Lawyers(s): Michael Hopper
Arbitrator(s): Thomas A. Martin, Bertrand C. Moser, Stephen T. Johnson
Hearing Site: Houston, TX
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| 17-00116 | 12/14/2017 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Jack D. Ballard
Respondent(s): Justin Ward
Respondent Lawyers(s): Justin Garrett Ward
Arbitrator(s): Eric R. Benton
Hearing Site: Houston, TX
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| 17-01183 | 11/29/2017 | Claimant(s): StartEngine Capital LLC
Claimant Lawyers(s): Mary Frances Knight
Respondent(s): Christopher Dewey
Respondent Lawyers(s): Andrew Dewey
Arbitrator(s): Sherry R. Wetsch
Hearing Site: Houston, TX
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| 17-02195 | 11/17/2017 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Jeffrey M. Csercsevits
Respondent(s): Michael Grisaffi
Respondent Lawyers(s): Michael Anthony Grisaffi
Arbitrator(s): Maryanne M. Esser
Hearing Site: Houston, TX
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| 16-01339 | 10/24/2017 | Claimant(s): James Bashaw, Jeb & Co.
Claimant Lawyers(s): David B. Cosgrove
Respondent(s): LPL Financial LLC, Mark Casady
Respondent Lawyers(s): Rodney Acker
Arbitrator(s): Peter Benz Dickens, Alan M. Holzberg, Brian James Tagtmeier
Hearing Site: Houston, TX
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| 17-01771 | 09/21/2017 | Claimant(s): Farhood Kasiri
Claimant Lawyers(s): David Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Craig A. Vollono
Arbitrator(s): Brian James Tagtmeier
Hearing Site: Houston, TX
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| 16-01087 | 08/21/2017 | Claimant(s): David Hinkle
Claimant Lawyers(s): David Hinkle
Respondent(s): Cantor Fitzgerald & Co.
Respondent Lawyers(s): David A. Paul
Arbitrator(s): Frank M. Romano, Jeffrey M. Aboloff, Mary Esther Escobedo
Hearing Site: Houston, TX
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