| 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 |
| 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 |
| 16-02863 | 05/17/2019 | Claimant(s): Mark E. Viator IRA
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Fred N. Knopf
Arbitrator(s): Raymond C. Kerr, David C. Redford, Allan R. Lazor
Hearing Site: Houston, TX
| | $0 |
| 16-01390 | 04/05/2017 | Claimant(s): Rohn Bertoldi
Claimant Lawyers(s): Gary Menzer
Respondent(s): Steven Knowlton, IMS Securities.
Respondent Lawyers(s): Martin S. Schexnayder
Arbitrator(s): David C. Redford, Heather Gaile Layton, Jonathan Charles Day
Hearing Site: Houston, TX
| | $27,000 |
| 13-02229 | 11/18/2014 | Claimant(s): Ed Herringshaw, Mark Rowe, Mary Rowe, Oscar Jones, Roger Matz, Warren Cherry, Estate of Allen Bakker, John Wakefield, Lee Levine, Mark Bentley, Mary Kochenderfer, Melissa Overbay, Paul Wright, Pete Altimore, Robert Evans, Roger Michael, Ron Appelt, W. Bruce Overbay, Wayne Kochenderfer
Claimant Lawyers(s): Wesley Lotz
Respondent(s): U.S. Capital Advisors LLC, USCA RIA LLC, USCA Securities LLC
Respondent Lawyers(s): Suzanne Hickey, CCO
Arbitrator(s): Charles E. Munson, William A. Allen, David C. Redford
Hearing Site: Houston, TX
| | Settlement |
| 09-06311 | 11/15/2010 | Claimant(s): Homer Martin
Claimant Lawyers(s): Royal B. Lea
Respondent(s): Riverstone Wealth Mangement.
Respondent Lawyers(s): John Courtade
Arbitrator(s): Ross D. Friend, William A. Allen, David C. Redford
Hearing Site: Houston, TX
| | $512,101 |
| 09-02834 | 08/31/2010 | Claimant(s): Joyce Glynn
Claimant Lawyers(s): Joyce B. Glynn
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Cassandra Knight
Arbitrator(s): David C. Redford
Hearing Site: Houston, TX
| | $0 |
| 09-05683 | 04/23/2010 | Claimant(s): Sukmanee Lin
Claimant Lawyers(s): Lionel Lin
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith A. Felde
Arbitrator(s): David C. Redford
Hearing Site: Houston, TX
| | $7,601 |
| 07-00805 | 11/01/2007 | Claimant(s): Scottrade.
Claimant Lawyers(s): Thomas L. Azar
Respondent(s): John Gott
Respondent Lawyers(s): John C. Gott
Arbitrator(s): Kathy R. Holler, Lynne M. Gomez, David C. Redford
Hearing Site: Houston, TX
| | $0 |
