| 23-00256 | 06/21/2024 | Claimant(s): Maria Cristina Donnelly
Claimant Lawyers(s): David Cook
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Justin Opitz
Arbitrator(s): Sherry R. Wetsch, Maryanne M. Esser, Allan R. Lazor
Hearing Site: Houston, TX
|  | $0 |
| 20-04216 | 01/05/2024 | Claimant(s): Kent Bonvillain, Whitney Guidry
Claimant Lawyers(s): Kevin Conway
Respondent(s): Raymond James & Associates.
Respondent Lawyers(s): George C. Freeman
Arbitrator(s): Maryanne M. Esser, Chris W. Surprenant, William John Sommers
Hearing Site: New Orleans, LA
| | $15,000 |
| 22-00493 | 11/07/2022 | Claimant(s): Brian Birkes
Claimant Lawyers(s): Brian C. Birkes
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Maryanne M. Esser
Hearing Site: Little Rock, AR
| | $4,371 |
| 19-01232 | 02/02/2021 | Claimant(s): Monte G'Sell, Monte Land G'Sell Revocable Living Trust
Claimant Lawyers(s): Nelson S. Ebaugh
Respondent(s): Thomas Badgett, TradingBlock
Respondent Lawyers(s): Martin Schexnayder
Arbitrator(s): Sherry R. Wetsch, Maryanne M. Esser, Thomas Deon Warner
Hearing Site: Houston, TX
| | $147,642 |
| 17-00904 | 11/13/2019 | Claimant(s): Juan Angel Rodriguez, Myriam Gonzalez
Claimant Lawyers(s): Lawrence Bradley Hancock
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jack D. Ballard
Arbitrator(s): Maryanne M. Esser, Malcolm Edwin Whittaker, Allan R. Lazor
Hearing Site: Houston, TX
| | $1,554,840 |
| 18-00112 | 04/24/2019 | Claimant(s): Jeffrey Cox, Samuel Garrido
Claimant Lawyers(s): Lars Soreide
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Nicholas N. George
Arbitrator(s): Christine L. Stetson, Maryanne M. Esser, Shannon Lyn Mays
Hearing Site: Houston, TX
| | Expungement |
| 18-00778 | 01/08/2019 | Claimant(s): Donald Simpson
Claimant Lawyers(s): Nicholas H. Berg
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Andrew R. Harvin
Arbitrator(s): Simeon B. Reimonenq, Maryanne M. Esser, Imre Stephen Szalai
Hearing Site: New Orleans, LA
| | $250,495 |
| 17-01985 | 12/21/2018 | Claimant(s): Sally Reagan
Claimant Lawyers(s): Nelson S. Ebaugh
Respondent(s): Morgan Stanley, Ganesh Iyer
Respondent Lawyers(s): Crystal Robles, Nicholas N. George
Arbitrator(s): Daniel J. Pagnano, Christine L. Stetson, Maryanne M. Esser
Hearing Site: Houston, TX
| | $54,954 |
| 16-03199 | 02/09/2018 | Claimant(s): William J. Mosley IRA, William J. Mosley & Karen Mosley JT/WROS
Claimant Lawyers(s): Christopher E. Geotes
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): Gianluca Morello
Arbitrator(s): Thomas A. Martin, Maryanne M. Esser, Cara Elizabeth Carlson
Hearing Site: Houston, TX
| | $254,250 |
| 15-02289 | 04/11/2017 | Claimant(s): Roberto Ramon Midence Revocable Living
Claimant Lawyers(s): D. Daxton White
Respondent(s): Morgan Stanley, RBC Capital Markets LLC
Respondent Lawyers(s): John P. Kincade, Joseph C. Coates
Arbitrator(s): Maryanne M. Esser, Amy Lynn Mitchell, Shannon Lyn Mays
Hearing Site: Houston, TX
| | Expungement |
