| 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 |
| 22-02894 | 04/17/2024 | Claimant(s): Peggy Hedgren
Claimant Lawyers(s): Jennifer P. Farrar
Respondent(s): Edward Jones
Respondent Lawyers(s): Donald R. Littlefield
Arbitrator(s): Allan R. Lazor, David Aaron DeSoto, Fred Olivares
Hearing Site: Houston, TX
| | Expungement |
| 22-00728 | 09/12/2023 | Claimant(s): Robert Cappiello
Claimant Lawyers(s): Nicholas J. Guiliano
Respondent(s): McNally Financial Services Corporation
Respondent Lawyers(s): Gary S. Kessler
Arbitrator(s): Jacqueline R. Fox, Sherry R. Wetsch, Allan R. Lazor
Hearing Site: Houston, TX
| | Expungement |
| 21-02697 | 04/04/2023 | Claimant(s): Denny Gamble
Claimant Lawyers(s): Grace A. Van Hancock
Respondent(s): Network 1 Financial Securities Inc.
Respondent Lawyers(s): Craig A. Riha
Arbitrator(s): Allan R. Lazor, Chris W. Surprenant, Mary Audiffred
Hearing Site: New Orleans, LA
| | Expungement |
| 20-02401 | 12/23/2022 | Claimant(s): Ramakrishna Chav MD PA, for its 401Ks, Ramakrishna Chava MD PA, for its PSP, Ramakrishna Chava, for his Roth IRA, for his SEP IRA, Chava Family LP, a Partnership, Ramakrishna Chava as Trustee
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Fred Knopf
Arbitrator(s): Sherry R. Wetsch, Allan R. Lazor, Lisa Lemons
Hearing Site: Houston, TX
| | Expungement |
| 21-00450 | 02/24/2022 | Claimant(s): Kevin Knight
Claimant Lawyers(s): Kevin Knight
Respondent(s): Robinhood Financial., Robinhood Securities
Respondent Lawyers(s): Dominick F. Evangelista
Arbitrator(s): Daniel J. Pagnano, Allan R. Lazor, Kevin Colby
Hearing Site: Houston, TX
| | $0 |
| 20-02970 | 01/24/2022 | Claimant(s): Lars Jensen
Claimant Lawyers(s): Lance McCardle
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): George C. Freeman III
Arbitrator(s): Allan R. Lazor, Devlan Wesley Melancon, Alan Lee Powell
Hearing Site: New Orleans, LA
| | Expungement |
| 20-01669 | 12/09/2021 | Claimant(s): Lacey Keath
Claimant Lawyers(s): Samuel B. Edwards
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Jason R. Lindsay
Arbitrator(s): Jack Chapline Vaughan, Allan R. Lazor, James Douglas Gaughan
Hearing Site: Houston, TX
| | $4,000,000 |
| 19-03356 | 03/12/2021 | Claimant(s): Eugenio Sanchez, Gloria Nunez de Landavazo, Humberto Peniche, Jessica Sordo, Lorenia Bustamante-Ibarra, Pablo Hernandez, Salvador Garcia-Ledesma, Elden LTD
Claimant Lawyers(s): Michael J. Stanley
Respondent(s): Pershing LLC
Respondent Lawyers(s): Jeffrey J. Chapman
Arbitrator(s): Allan R. Lazor, Joshua Charles Nelson-Archer, Denise Ereka Peterson
Hearing Site: Houston, TX
| | $750 |
| 19-00443 | 01/21/2020 | Claimant(s): Jose Medardo Burgos F, Maria Del Carmen G Burgos, Maria Medina-Luna Anaya
Claimant Lawyers(s): Kirk G. Smith
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Simon Levy
Arbitrator(s): Jack Chapline Vaughan, William A. Allen, Allan R. Lazor
Hearing Site: Houston, TX
| | $0 |
