| 21-00988 | 01/07/2022 | Claimant(s): Bettie Sam, Sidney Sam
Claimant Lawyers(s): Bettie Jean Sam
Respondent(s): Angela Leister, Elias Davis, Erin Minerd, J.P. Morgan Securities, Matthew Simpson, Robert Weiss, Wayne White
Respondent Lawyers(s): Ali I. Haque, Michael A. Gross
Arbitrator(s): Brian James Tagtmeier
Hearing Site: Houston, TX
|  | $300 |
| 20-02851 | 07/30/2021 | Claimant(s): Maria Waters, Marlon Waters
Claimant Lawyers(s): Maria R. Waters, Marlon K. Waters
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Noah D. Sorkin
Arbitrator(s): Brian James Tagtmeier, Richard Wayne Rigdon, Kendra Johnson
Hearing Site: Dallas, TX
| | $0 |
| 19-03726 | 07/16/2021 | Claimant(s): Cynthia Lambert
Claimant Lawyers(s): Cynthia Lambert
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Melissa J. Gworek
Arbitrator(s): Martin Samuel Altimore, Brian James Tagtmeier, Bartlett Michael Sheinberg
Hearing Site: Houston, TX
| | $0 |
| 19-01630 | 02/22/2021 | Claimant(s): Manuel Diaz
Claimant Lawyers(s): Luis E. Minana
Respondent(s): National Financial Services LLC
Respondent Lawyers(s): Carlos Bobonis-Gonzalez
Arbitrator(s): Gloria O. North, Howard B. Scherer, Brian James Tagtmeier
Hearing Site: San Juan, PR
| | Dismissed by Rule 12206(a) |
| 18-00543 | 11/04/2019 | Claimant(s): Paula Adams
Claimant Lawyers(s): Mark S. Fryman
Respondent(s): UBS Financial Services Inc., Mark Katz
Respondent Lawyers(s): Anthony J. Borrelli
Arbitrator(s): Brian James Tagtmeier, Daniel L. Fulkerson, Jeffrey Bruce Bock
Hearing Site: Houston, TX
| | $497,620 |
| 15-02845 | 01/16/2019 | Claimant(s): Royce Felder
Claimant Lawyers(s): Hilton Wiener
Respondent(s): Ahmad Wares, Anthony Caruso, Christopher Martin, Yvonne Owens, C.K. Cooper & Company.
Respondent Lawyers(s): Ahmad Wares, Alex Montano, Anthony Phillip Caruso, Christopher M. Martin, Yvonne R. Owens
Arbitrator(s): Susan Meek, Brian James Tagtmeier, Robert C. Rice
Hearing Site: Houston, TX
| | $0 |
| 17-02783 | 12/07/2018 | Claimant(s): Stephen Shaper
Claimant Lawyers(s): Jennifer Tarr
Respondent(s): Andrew Tressler, Cassandra Woodward, Todd Aitken, Liberty Partners Financial Services
Respondent Lawyers(s): Eric J. Sussman
Arbitrator(s): Dale A. Hearn, Brian James Tagtmeier, Stuart Diamond
Hearing Site: Houston, TX
| | $0 |
| 17-01188 | 05/15/2018 | Claimant(s): Peggy Batson, The Estate of Evelyn C. Batson, Peggy L. Batson on behalf of her IRA
Claimant Lawyers(s): Mark A. Tepper
Respondent(s): First Kentucky Securities Corporation
Respondent Lawyers(s): Richard S. Frankowski
Arbitrator(s): Brian James Tagtmeier, Chermaine Nkomo, Daniel L. Fulkerson
Hearing Site: Houston, TX
| | $35,000 |
| 16-01205 | 02/08/2018 | Claimant(s): Morris Steller
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): Peter Voldness, Thomas Heinzen, Emergent Financial Group.
Respondent Lawyers(s): Randy J. Sparling
Arbitrator(s): Michael S. Yauch, Brian James Tagtmeier, Camille Morris Tankersley
Hearing Site: Houston, TX
| | $0 |
| 17-00513 | 12/29/2017 | Claimant(s): David Petersen
Claimant Lawyers(s): Lars Kristian Soreide
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Alise J. Henry
Arbitrator(s): Brian James Tagtmeier
Hearing Site: Houston, TX
| | Expungement |
