| 14-02788 | 09/08/2017 | Claimant(s): Liphard D'Souza, Sabrina D'Souza
Claimant Lawyers(s): Chad M. Neuens
Respondent(s): First Independent Financial Services Inc
Respondent Lawyers(s): Gary S. Kessler
Arbitrator(s): Kelley L. Cornelius, Philip I. McConnell, Van R. Oliver
Hearing Site: Oklahoma City, OK
|  | $94,852 |
| 15-01084 | 02/16/2016 | Claimant(s): Barbara Schroeder, Stefan Kreuzer, BAPG Partnership Ltd.
Claimant Lawyers(s): Robert L. Herskovits
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Michael Rogala
Respondent Lawyers(s): Nick Hendrix
Arbitrator(s): Sherry R. Wetsch, Philip I. McConnell, Jeffrey R. Jury
Hearing Site: Houston, TX
| | Expungement |
| 13-02821 | 01/26/2015 | Claimant(s): Dorothy Robertson
Claimant Lawyers(s): Samuel B. Edwards
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Vanessa M Hoffman
Arbitrator(s): Philip I. McConnell, Maurice J. Fallas, Daniel Stephen Dexter
Hearing Site: Houston, TX
| | Expungement |
| 13-03324 | 12/19/2014 | Claimant(s): James Rowe
Claimant Lawyers(s): James M. Chaney
Respondent(s): Michael Heaton, Paul Raisig, Robert Savage, Leonard Securities, Raisig & Connolly
Respondent Lawyers(s): Joe M. Hampton, Paul Arthur Raisig
Arbitrator(s): Jan Preece Gaddis, Philip I. McConnell, Rowland Denman
Hearing Site: Oklahoma City, OK
| | $200,000 |
| 14-00287 | 12/11/2014 | Claimant(s): Cary Moomjian
Claimant Lawyers(s): Cary A. Moomjian
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Philip I. McConnell, Lisa A Randall-Haag, Robert J. Steele
Hearing Site: Dallas, TX
| | $0 |
| 12-03896 | 08/22/2014 | Claimant(s): Alison McIntosh, Arthur McIntosh
Claimant Lawyers(s): J. Michael Ellis
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Deirdre Wolff
Arbitrator(s): Philip I. McConnell, Maryanne M. Esser, Dianne Connally Betts
Hearing Site: Dallas, TX
| | $0 |
| 13-00158 | 07/11/2014 | Claimant(s): Estate of Dr. John Wilkinson, MD, Estate of Regina Wilkinson
Claimant Lawyers(s): William H. Oliver
Respondent(s): Norma Kresta, BBVA Compass Insurance Agency., BBVA Compass Investment Solutions.
Respondent Lawyers(s): Brannon C. Dillard, Sarah Santos
Arbitrator(s): Bertrand C. Moser, Philip I. McConnell, Pamela Marcell Carroll
Hearing Site: Houston, TX
| | $123,321 |
| 11-00472 | 11/27/2013 | Claimant(s): Karl Steffes, Susan Steffes, Karl Steffes IRA Rollover
Claimant Lawyers(s): Seth E. Lipner
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): Philip I. McConnell, Charles S. Chester, Brian James Tagtmeier
Hearing Site: Houston, TX
| | Expungement |
| 10-04965 | 10/04/2012 | Claimant(s): Brian O'Grady, The O'Grady Family Partnership, Ltd.
Claimant Lawyers(s): Sheldon E. Richie
Respondent(s): Brett Schulick, David Miller, River Oaks Capital Management.
Respondent Lawyers(s): Andrew Leibowitz
Arbitrator(s): Philip I. McConnell, Lynne M. Gomez, William R. Jonson
Hearing Site: Houston, TX
| | $3,988,180 |
| 11-02864 | 10/02/2012 | Claimant(s): Janie Orr, John Orr
Claimant Lawyers(s): Robert D. O'Conor
Respondent(s): Wells Fargo Advisors, Perry Lyons
Respondent Lawyers(s): Michael A. Rodriguez
Arbitrator(s): Philip I. McConnell, Jack Chapline Vaughan, Joshua D. Wallach
Hearing Site: Houston, TX
| | Expungement |
