| 16-03445 | 08/15/2017 | Claimant(s): Alfred Kovacs
Claimant Lawyers(s): Anthony J. Borrelli
Respondent(s): Susan Beyer, Vernon Beyer, The Beyer 2014 Trust, The VEB Trust, The Vernon Beyer Descendant Trust
Respondent Lawyers(s): John L. Dagley
Arbitrator(s): Raymond C. Kerr
Hearing Site: Houston, TX
| | Expungement |
| 16-02985 | 08/07/2017 | Claimant(s): Kevin Kugley
Claimant Lawyers(s): Adam Charles Nicolai
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): Timothy L. Andrews, Jeffrey R. Jury, Brian James Tagtmeier
Hearing Site: Houston, TX
| | |
| 16-01858 | 07/21/2017 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Janelle E. Fulton
Respondent(s): Gilbert Rodriguez
Respondent Lawyers(s): Gilbert Anthony Rodriguez
Arbitrator(s): Thomas A. Martin
Hearing Site: Houston, TX
| | |
| 16-02077 | 07/19/2017 | Claimant(s): William Leven
Claimant Lawyers(s): Scott E. Rahn
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Katie M. Kimbrell
Arbitrator(s): Raymond C. Kerr
Hearing Site: Houston, TX
| | |
| 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
| | |
| 16-02079 | 06/13/2017 | Claimant(s): William Leven
Claimant Lawyers(s): Scott E. Rahn
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Katie M. Kimbrell
Arbitrator(s): Maryanne M. Esser
Hearing Site: Houston, TX
| | |
| 16-03581 | 06/01/2017 | Claimant(s): USCA Securities LLC
Claimant Lawyers(s): Therese L. Surprenant
Respondent(s): Aaron Geller
Respondent Lawyers(s): Aaron Craig Geller
Arbitrator(s): James A. Parker
Hearing Site: Houston, TX
| | |
| 16-02078 | 05/19/2017 | Claimant(s): William Leven
Claimant Lawyers(s): Scott Rahn
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Katie M. Kimbrell
Arbitrator(s): Brian James Tagtmeier
Hearing Site: Houston, TX
| | |
| 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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