| 19-01127 | 04/28/2023 | Claimant(s): Trent L. Rosenthal Trust
Claimant Lawyers(s): Samuel B. Edwards
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Anthony J. Borrelli
Arbitrator(s): Francis Joseph Bourgeois, Julie Marie Miller, Edwin Kisiel
Hearing Site: Houston, TX
|  | Expungement |
| 20-04040 | 10/29/2021 | Claimant(s): Dorothy Head, Hamza Hussain, Jacob Meredith, Joel Yambo-Torres, Kapil Bajaj, Kevin Jahed, Michelle Mullikin, Peter Barker, Robert Head, Serhiy Musyakevych, Vasudeva Manepalli
Claimant Lawyers(s): Jeff M. Meyerson
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): Michael S. Yauch, Francis Joseph Bourgeois, Dwayne Nealy McClelland
Hearing Site: Houston, TX
| | $0 |
| 16-01180 | 01/02/2018 | Claimant(s): Stephen Western
Claimant Lawyers(s): Stephany D. McLaughlin
Respondent(s): Donald Beary, Jon Stanfield, Susan Vargason
Respondent Lawyers(s): Benjamin J. Biard
Arbitrator(s): David D. McNally, Eric R. Benton, Francis Joseph Bourgeois
Hearing Site: Houston, TX
| | Dismissed by Rule 12206 |
| 14-03172 | 04/12/2016 | Claimant(s): Randall Stafford
Claimant Lawyers(s): Scott D. Ellis
Respondent(s): Cynthia Maphet, Morgan Stanley
Respondent Lawyers(s): Melissa M. Muehlfeld
Arbitrator(s): James G. Cooper, Jack Chapline Vaughan, Francis Joseph Bourgeois
Hearing Site: Houston, TX
| | Expungement |
| 08-04331 | 04/27/2010 | Claimant(s): Clifford Lee
Claimant Lawyers(s): Debra Brewer Hayes
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Bradley B. Rounsaville
Arbitrator(s): Langfred W. White, Robert Stephen Burns, Francis Joseph Bourgeois
Hearing Site: Tampa, FL
| | $0 |
