| 20-02935 | 06/08/2021 | Claimant(s): David Davis
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Chase Investment Services Corp.
Respondent Lawyers(s): Jeffrey S. Dunlap
Arbitrator(s): Sherry R. Wetsch
Hearing Site: Houston, TX
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| 20-03184 | 06/03/2021 | Claimant(s): William Fox
Claimant Lawyers(s): Robert Moses
Respondent(s): First Allied Securities.
Respondent Lawyers(s): Jeremy Wooden
Arbitrator(s): Sherry R. Wetsch
Hearing Site: Houston, TX
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| 20-00631 | 05/27/2021 | Claimant(s): US Capital Global Securities
Claimant Lawyers(s): George Murray Hudson
Respondent(s): Emerge Real Estate Group, Noble Capital Fund Management, Noble Capital Group, Noble Capital Servicing LLC, Streamline Funding Group
Respondent Lawyers(s): Jason M. Hopkins
Arbitrator(s): Robert C. Rice
Hearing Site: Houston, TX
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| 20-02567 | 05/20/2021 | Claimant(s): Justin Montandon
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Ameriprise Financial Services
Respondent Lawyers(s): Howard Klausemeier
Arbitrator(s): Daniel J. Pagnano
Hearing Site: Houston, TX
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| 20-02926 | 05/06/2021 | Claimant(s): Joseph Quartucci
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): National Planning Corporation
Respondent Lawyers(s): Eric A. Michaels
Arbitrator(s): Lynne M. Gomez
Hearing Site: Houston, TX
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| 20-03443 | 05/06/2021 | Claimant(s): Roger Engemoen
Claimant Lawyers(s): Jessica J. Mannon
Respondent(s): Samco Capital Markets.
Respondent Lawyers(s): Joel B. Bailey
Arbitrator(s): Lynne M. Gomez
Hearing Site: Houston, TX
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| 18-03355 | 04/09/2021 | Claimant(s): Jeffrey Houston
Claimant Lawyers(s): Kell A. Simon
Respondent(s): Navidar Group LLC, Navidar Holdco LLC, Navidar LLC
Respondent Lawyers(s): Eric Lipper
Arbitrator(s): Mark C Watler, Patricia Fenix Bastine, Nohayia Javed
Hearing Site: Houston, TX
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| 20-03878 | 04/07/2021 | Claimant(s): Intrepid Financial Partners LLC
Claimant Lawyers(s): John Siegal
Respondent(s): Antonio Fernandez
Respondent Lawyers(s): Daniel A. Schnapp
Arbitrator(s): Linda Broocks, Sherry R. Wetsch, Marquita Daniella Green
Hearing Site: Houston, TX
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| 20-00980 | 03/31/2021 | Claimant(s): Wendy Buchanan
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Edward Jones
Respondent Lawyers(s): Darren Goodman
Arbitrator(s): Lynne M. Gomez
Hearing Site: Houston, TX
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| 20-02603 | 03/29/2021 | Claimant(s): Ganesh Iyer
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Jeff Palmer
Arbitrator(s): G. Maynard Green
Hearing Site: Houston, TX
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