22-00590 | 02/09/2023 | Claimant(s): Ricardo Aguirre Claimant Lawyers(s): Ricardo Aguirre Respondent(s): TD Ameritrade. Respondent Lawyers(s): Jennifer A. Stevens Arbitrator(s): Stephanie E. Simmons Hearing Site: Houston, TX
| | Dismissed by Rules 12212(c), 12511(b) and 12603 |
20-02670 | 12/22/2022 | Claimant(s): Moody National DST Sponsor Claimant Lawyers(s): Douglas A. Daniels Respondent(s): Charles Schwab & Co.., Zachariah Bickers Respondent Lawyers(s): Jack D. Ballard Arbitrator(s): Stephanie E. Simmons, William Guy Arnot, Stephen Neil Foster Hearing Site: Houston, TX
| | $0 |
21-00507 | 04/14/2022 | Claimant(s): Katie Klein, Estate of Roy S. Dale, Dale & Klein Partnership, K&R Family Limited Partnership Claimant Lawyers(s): William Mount Respondent(s): Morgan Stanley, J. Bryan Reece, Citigroup Global Markets. Respondent Lawyers(s): Abigail D. Elrod, Adam M. Kauff Arbitrator(s): David C. Redford, Stephanie E. Simmons, Cynthia Ann Kittle Hearing Site: Houston, TX
| | Expungement |
20-03843 | 09/30/2021 | Claimant(s): David Furlong Claimant Lawyers(s): David Furlong Respondent(s): Fidelity Brokerage Services LLC Respondent Lawyers(s): Jack D. Ballard Arbitrator(s): Marjorie C. Johnson, Stephanie E. Simmons, Mina Banerjee Hearing Site: Houston, TX
| | $0 |
19-03357 | 03/25/2021 | Claimant(s): Terlink Claimant Lawyers(s): Michael J. Stanley Respondent(s): Pershing LLC Respondent Lawyers(s): Jeffrey J. Chapman Arbitrator(s): David C. Redford, Stephanie E. Simmons, Kevin Colby Hearing Site: Houston, TX
| | $0 |
20-02290 | 11/20/2020 | Claimant(s): Robert Pascarella Claimant Lawyers(s): Robert Pascarella Respondent(s): TD Ameritrade. Respondent Lawyers(s): William Mann Arbitrator(s): Stephanie E. Simmons Hearing Site: Houston, TX
| | $300 |
12-02101 | 12/19/2013 | Claimant(s): Estate of Dorris Arris Claimant Lawyers(s): Roger G. Bresnahan Respondent(s): Wachovia Securities, Wells Fargo Advisors, Gerald Cohn, The Cohn Financial Group Respondent Lawyers(s): Martha F. McDugald Arbitrator(s): Dale A. Hearn, Charles E. Munson, Stephanie E. Simmons Hearing Site: Houston, TX
| | Expungement |