| 15-03489 | 03/27/2017 | Claimant(s): James Robertson
Claimant Lawyers(s): Mike Aduddell
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jack D. Ballard
Arbitrator(s): Larry J. Sklar, Brian James Tagtmeier, Julie Marie Miller
Hearing Site: Houston, TX
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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
| | |
| 16-00018 | 03/03/2017 | Claimant(s): Shawn Kesterson
Claimant Lawyers(s): Shawn Kesterson
Respondent(s): Jim Pinegar, Judy Pinegar
Respondent Lawyers(s): Jim Pinegar, Judy Pinegar
Arbitrator(s): Thomas A. Martin, Heath O. Lauseng, Scott Hooper
Hearing Site: Houston, TX
| | Expungement |
| 16-01775 | 01/26/2017 | Claimant(s): Patrick Biggins
Claimant Lawyers(s): Mark Wilson
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Jonathan C. Schwartz
Arbitrator(s): Bertrand C. Moser, Robert L. Rolnick, David Aaron DeSoto
Hearing Site: Houston, TX
| | |
| 16-01885 | 12/27/2016 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Jack D. Ballard
Respondent(s): Jose Landin
Respondent Lawyers(s): Jose A. Landin
Arbitrator(s): Michael Louis Goldstone
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
| | |
| 15-00553 | 10/07/2016 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Jeffrey M. Csercsevits
Respondent(s): Roman Reed, Victor Barrionuevo
Respondent Lawyers(s): Paul D. Flack
Arbitrator(s): Thomas A. Cipolla, Bertrand C. Moser, Marjorie C. Johnson
Hearing Site: Houston, TX
| | |
| 15-02660 | 08/24/2016 | Claimant(s): Rodney Ellis
Claimant Lawyers(s): James M. Douglas
Respondent(s): Rice Financial Products Company
Respondent Lawyers(s): Lisa-Sheri K. Torrence
Arbitrator(s): David C. Redford
Hearing Site: Houston, TX
| | |
| 16-01130 | 08/15/2016 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Christopher S. Koller
Respondent(s): Michael Bradford
Respondent Lawyers(s): Michael Dean Bradford
Arbitrator(s): Bertrand C. Moser
Hearing Site: Houston, TX
| | |
| 14-02839 | 08/05/2016 | Claimant(s): Michael Taylor
Claimant Lawyers(s): Seth E. Lipner
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): Maryanne M. Esser, Montie G. Grimes, Thomas D. Cordell
Hearing Site: Houston, TX
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