| 24-00092 | 07/29/2024 | Claimant(s): Amra Uzair, Mirza Beg
Claimant Lawyers(s): Joshua Kons
Respondent(s): CrowdStreet., Crowdstreet Capital LLC
Respondent Lawyers(s): Gabrielle Gould
Arbitrator(s): Lynne M. Gomez, Montie G. Grimes, David Aaron DeSoto
Hearing Site: Houston, TX
|  | Dismissed by Rule 12200 |
| 22-01699 | 06/10/2024 | Claimant(s): The Estate of Margaret Mahaney-Smith
Claimant Lawyers(s): Lars Soreide
Respondent(s): LPL Financial LLC, Frederick Arbusto
Respondent Lawyers(s): John W. Joyce
Arbitrator(s): Jo-Marie Lisa, Lynne M. Gomez, Imre Stephen Szalai
Hearing Site: New Orleans, LA
| | Expungement |
| 22-02024 | 10/24/2023 | Claimant(s): Scott Parker, Sharon Parker
Claimant Lawyers(s): Jeffrey B. Kaplan
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Charlotte S. Wolfe
Arbitrator(s): Sherry R. Wetsch, Lynne M. Gomez, Ashika S Brinkley
Hearing Site: Houston, TX
| | Expungement |
| 21-02116 | 05/03/2023 | Claimant(s): Matthew W. Nickerson, on behalf of IRA
Claimant Lawyers(s): Kirk G Smith
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Matthew Bohenek
Arbitrator(s): Lynne M. Gomez
Hearing Site: Little Rock, AR
| | Expungement |
| 21-02621 | 05/03/2023 | Claimant(s): Richard Westfall
Claimant Lawyers(s): Michael S. Hill
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Joel M. Everest
Arbitrator(s): Lynne M. Gomez
Hearing Site: Oklahoma City, OK
| | Expungement |
| 21-01069 | 02/16/2022 | Claimant(s): Warren Gonzales
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Ryan R. Baker
Arbitrator(s): Lynne M. Gomez
Hearing Site: New Orleans, LA
| | Dismissed by Rule 12206 |
| 20-03501 | 01/21/2022 | Claimant(s): David E. Hillin IRA, David and Denise Hillin Trust
Claimant Lawyers(s): D. Daxton White
Respondent(s): Geneos Wealth Management
Respondent Lawyers(s): Victoria H. Buter
Arbitrator(s): Lynne M. Gomez, Paul E. Dahlman, Michael D. Briggs
Hearing Site: Oklahoma City, OK
| | Expungement |
| 19-00592 | 01/14/2020 | Claimant(s): Bryan Parker, Jessica Valentine, Parker Family Trust
Claimant Lawyers(s): Joseph R. Marrs
Respondent(s): Interactive Brokers LLC
Respondent Lawyers(s): Carlos E. Provencio
Arbitrator(s): Lynne M. Gomez, Robert C. Rice, Stephen Andrew McCarthy
Hearing Site: Houston, TX
| | $0 |
| 18-03141 | 09/11/2019 | Claimant(s): Betty Bailey, Betty Bailey IRA
Claimant Lawyers(s): David W. Miller
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Paul D. Flack
Arbitrator(s): Lynne M. Gomez, Camille Morris Tankersley, Heather Gaile Layton
Hearing Site: Houston, TX
| | $555,000 |
| 17-00296 | 09/19/2017 | Claimant(s): Waddell Jeffries
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Anthony Fusco, Frank Fusco, Salvatore Caruso
Respondent Lawyers(s): Lawrence Gelber
Arbitrator(s): Lynne M. Gomez
Hearing Site: Houston, TX
| | $0 |
