| 14-01508 | 08/28/2015 | Claimant(s): Charles Doraine
Claimant Lawyers(s): Donald M Feferman
Respondent(s): Kevin Mccracken, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Teri L. Danish
Arbitrator(s): Frank M. Romano, Reginald Harris Brockwell, Julie Marie Miller
Hearing Site: Houston, TX
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| 14-00743 | 07/15/2015 | Claimant(s): Scott Zodin
Claimant Lawyers(s): Geoffrey D. Weisbart
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Tracy L. Gerber
Arbitrator(s): Malcolm Edwin Whittaker, Gary L. Foose, Phillip M. Renfro
Hearing Site: Houston, TX
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| 14-03753 | 05/29/2015 | Claimant(s): Raymond, James & Associates.
Claimant Lawyers(s): Robert K. Jamieson
Respondent(s): Armando Wood
Respondent Lawyers(s): Armando Wood
Arbitrator(s): Jeffrey R. Jury
Hearing Site: Houston, TX
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| 09-06970 | 05/14/2015 | Claimant(s): Joseph Collins
Claimant Lawyers(s): Joseph Collins
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Edward A. Walton
Arbitrator(s): Gregory E. Cater, Malcolm Edwin Whittaker, Susan Meek
Hearing Site: Houston, TX
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| 14-03598 | 05/07/2015 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): Irma Hampton
Respondent Lawyers(s): Jessica C. Neufeld
Arbitrator(s): George A. Sellnau
Hearing Site: Houston, TX
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| 14-01426 | 04/14/2015 | Claimant(s): Scott Coombes
Claimant Lawyers(s): Scott Browning Coombes
Respondent(s): Carol Reinking, Valic Financial Advisors.
Respondent Lawyers(s): Carol Reinking, Kortney S. Farmer
Arbitrator(s): Oren L. Connaway, Maurice J. Fallas, Daniel Stephen Dexter
Hearing Site: Houston, TX
| | Expungement |
| 14-03597 | 03/23/2015 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): Jon Fletcher
Respondent Lawyers(s): Jon Michael Fletcher
Arbitrator(s): Jeff Kilgore
Hearing Site: Houston, TX
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| 13-00784 | 03/04/2015 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Michael R. Greco
Respondent(s): Connie Mack, Mark Blom, Richard Rosso
Respondent Lawyers(s): Clinton W. Marrs
Arbitrator(s): R. Lee Britton Jr., Carol Akers Klug, Steven Dale Smit
Hearing Site: Houston, TX
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| 14-00519 | 12/30/2014 | Claimant(s): Danford Meischen
Claimant Lawyers(s): Jeffrey Glass
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jason K. Roberts
Arbitrator(s): Reginald Harris Brockwell, Allan R. Lazor, Jason Kyle Beale
Hearing Site: Houston, TX
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| 14-01459 | 12/08/2014 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Michael Taaffe
Respondent(s): Horace Stubblefield
Respondent Lawyers(s): Horace (Gandy) Stubblefield
Arbitrator(s): Maryanne M. Esser
Hearing Site: Houston, TX
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