| 22-02978 | 11/07/2023 | Claimant(s): Carlos Fernandez
Claimant Lawyers(s): Chelsea Bauer
Respondent(s): Chase Investment Services Corp.
Respondent Lawyers(s): Heidi E. VonderHeide
Arbitrator(s): David Aaron DeSoto
Hearing Site: Houston, TX
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| 22-02615 | 10/09/2023 | Claimant(s): Stefan Nensala
Claimant Lawyers(s): Chelsea Bauer
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Valerie Holder
Arbitrator(s): G. Maynard Green
Hearing Site: Houston, TX
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| 22-02046 | 09/29/2023 | Claimant(s): Enrique Lopez
Claimant Lawyers(s): Daniel D'Costa
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Rochelle Mayfield
Arbitrator(s): Steven Akiba Swernofsky, Vincent Vereen, Robert Weston Nuzum
Hearing Site: Houston, TX
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| 23-01781 | 09/29/2023 | Claimant(s): Nancy Gabany
Claimant Lawyers(s): David I. Hantman
Respondent(s): Comerica Securities
Respondent Lawyers(s): Susan C. Nystrom
Arbitrator(s): G. Maynard Green
Hearing Site: Houston, TX
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| 22-01546 | 09/28/2023 | Claimant(s): Eric Dolin
Claimant Lawyers(s): Wilmer D. Masterson
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Emma M. Tomsick
Arbitrator(s): Michele N. O'Brien, Stephen Andrew McCarthy, Bernardo S. Garza
Hearing Site: Houston, TX
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| 22-00408 | 08/29/2023 | Claimant(s): Rafael Friederichsen
Claimant Lawyers(s): S. Bruce Hiran
Respondent(s): BBVA Securities Inc.
Respondent Lawyers(s): John O. Lukanski
Arbitrator(s): Daniel J. Pagnano, Brian James Tagtmeier, Katherine Parsley
Hearing Site: Houston, TX
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| 22-02523 | 08/03/2023 | Claimant(s): Donald Terry
Claimant Lawyers(s): Brian Luther
Respondent(s): Principal Securities.
Respondent Lawyers(s): Destinee Campbell Small
Arbitrator(s): Robert C. Rice
Hearing Site: Houston, TX
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| 22-01682 | 06/30/2023 | Claimant(s): Stephen Caton
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Katelyn H. Wilson
Arbitrator(s): Maryanne M. Esser
Hearing Site: Houston, TX
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| 22-01333 | 06/23/2023 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Jonathan D. Berg
Respondent(s): Joshua Maniscalco
Respondent Lawyers(s): Joshua P. Maniscalco
Arbitrator(s): Samuel Olutola Akeju, Montie G. Grimes, Peter Ntephe
Hearing Site: Houston, TX
| | $641,262 |
| 22-02421 | 06/20/2023 | Claimant(s): Paolo Thompson
Claimant Lawyers(s): Robert K. Jamieson
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): Laura Ruiz Rivera
Arbitrator(s): Leslie Bernard Jallans, Lynne M. Gomez, Montie G. Grimes
Hearing Site: Houston, TX
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