21-01193 | 09/28/2022 | Claimant(s): Justin Fraser Claimant Lawyers(s): David Harrison Respondent(s): Interactive Brokers LLC Respondent Lawyers(s): Carlos E. Provencio Arbitrator(s): Lawrence R. Maxwell, Jeffrey Ackermann, Deborah Johns Tatum Hearing Site: New Orleans, LA
| | $452,817 |
20-03780 | 06/22/2022 | Claimant(s): Lee White Claimant Lawyers(s): Lee White Respondent(s): Robinhood Financial., Robinhood Securities Respondent Lawyers(s): Jonathan J. Brennan Arbitrator(s): David A. Schuler Hearing Site: New Orleans, LA
| | $0 |
20-04077 | 06/22/2022 | Claimant(s): Jacques Soileau, Jennifer Plauche Soileau, Nexgen Investments Claimant Lawyers(s): Jeffrey Erez Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Rebecca K. Lindahl Arbitrator(s): Barbara L. Edin, Donald Cole Massey, Linda Genevieve Bizzarro Hearing Site: New Orleans, LA
| | $975,606 |
20-03324 | 04/22/2022 | Claimant(s): Ardine Jones, Buddy Jones, Ledger Fisse, Ron Carlos, Sharon Fisse Claimant Lawyers(s): Ardine Jones, Benjamin Edwards, Buddy Jones, Ledger J. Fisse Respondent(s): Gilberto Briseno Respondent Lawyers(s): Alan M. Wolper Arbitrator(s): Mark C Watler, Richard William Cryar, Ralph Hamilton Schofield Hearing Site: New Orleans, LA
| | Expungement |
20-00862 | 03/10/2022 | Claimant(s): Joan Highsmith, Lutricia Ward, Estate of Thomas Ward Claimant Lawyers(s): Alex S Aughtry Respondent(s): Anthony Mesquit, Eric McSwain, Jennifer Dehart, Fidelity Brokerage Services LLC, Nassim Elias, Fidelity Personal and Workplace Advisors Respondent Lawyers(s): W. Preston Martin Arbitrator(s): Barbara L. Edin, Keith E. Robinson, Arlene Denise Knighten Hearing Site: New Orleans, LA
| | Expungement |
20-01422 | 03/09/2022 | Claimant(s): Lisa Craig, Renee Allie Claimant Lawyers(s): Jason J. Kane Respondent(s): Stifel, Nicolaus & Co.. Respondent Lawyers(s): George C. Freeman Arbitrator(s): Mark A. Myers, Stephen Edgar Eisenbraun, Valerie Turner Schexnayder Hearing Site: New Orleans, LA
| | 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 |
20-02970 | 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 |
19-03051 | 01/21/2022 | Claimant(s): Robert Ratcliff, Ratcliff Investments Claimant Lawyers(s): Jacob H. Zamansky Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): David L. Goldberg Arbitrator(s): Mark A. Myers, Alan Lee Powell, James Wesley Bearden Hearing Site: New Orleans, LA
| | $433,000 |
19-00301 | 07/17/2020 | Claimant(s): Larry Hauskins, PELCO., Estate of Robert Kiar Claimant Lawyers(s): Jonathan E. Neuman Respondent(s): National Securities Corporation Respondent Lawyers(s): Fred N. Knopf Arbitrator(s): Mark L. Williams, Richard William Cryar, Marlo Best Hearing Site: New Orleans, LA
| | $0 |