| 16-00119 | 04/29/2016 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s): Stephen Vaughan
Respondent Lawyers(s): Stephen A. Vaughan
Arbitrator(s):
Hearing Site: Houston, TX
| | |
| 14-03770 | 03/30/2016 | Claimant(s): UBS Financial Services Inc., UBS Credit Corp.
Claimant Lawyers(s): Megan A. Smith
Respondent(s): David Lavine
Respondent Lawyers(s): Andrew R. Harvin
Arbitrator(s): James A. Parker, Ann Bradford Ligums, G. Dennis Sheehan
Hearing Site: Houston, TX
| | |
| 15-02414 | 03/22/2016 | Claimant(s): Raymond James Financial Services.
Claimant Lawyers(s): Robert K. Jamieson
Respondent(s): Imtiaz Chowdhury
Respondent Lawyers(s): Lance C. Arney
Arbitrator(s): Maryanne M. Esser
Hearing Site: Houston, TX
| | |
| 14-03158 | 12/31/2015 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Amy Osberg Roberts
Respondent(s): Clifton Roberts
Respondent Lawyers(s): Clifton H. Roberts
Arbitrator(s): Christine L. Stetson
Hearing Site: Houston, TX
| | |
| 14-02301 | 11/06/2015 | Claimant(s): Paula Mott
Claimant Lawyers(s): Sanford L. Dow
Respondent(s): Wunderlich Securities.
Respondent Lawyers(s): Jonathan Cromwell Hancock
Arbitrator(s): R. Lee Britton Jr., John F. Hinrichs, Julie Marie Miller
Hearing Site: Houston, TX
| | |
| 15-01070 | 10/20/2015 | Claimant(s): Raymond James Financial Services.
Claimant Lawyers(s): Dominique E. Heller
Respondent(s): Rhonda Matthews
Respondent Lawyers(s): Rhonda Janeen Matthews
Arbitrator(s): George A. Sellnau
Hearing Site: Houston, TX
| | |
| 14-00788 | 10/13/2015 | Claimant(s): Barbara Johnson
Claimant Lawyers(s): Barbara Andrea Johnson
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Scott R. Koch
Arbitrator(s): Christine L. Stetson
Hearing Site: Houston, TX
| | |
| 15-00582 | 10/06/2015 | Claimant(s): UBS Financial Services Inc., UBS Credit Corp.
Claimant Lawyers(s): Megan Smith
Respondent(s): David Nell
Respondent Lawyers(s): David Nell
Arbitrator(s): Michael S. Yauch
Hearing Site: Houston, TX
| | |
| 13-00965 | 09/11/2015 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Victor Walker
Respondent Lawyers(s): Marcellous S. McZeal
Arbitrator(s): Bernard D. Hammer, Donald K. Eckhardt, Christine L. Stetson
Hearing Site: Houston, TX
| | |
| 14-03170 | 09/01/2015 | Claimant(s): Waddell & Reed
Claimant Lawyers(s): Carol H. Li
Respondent(s): Elizabeth Smith
Respondent Lawyers(s): Elizabeth Smith
Arbitrator(s): Thomas A. Martin
Hearing Site: Houston, TX
| | |
