| 19-02566 | 04/07/2020 | Claimant(s): Maria Freeman
Claimant Lawyers(s): Alex S. Aughtry
Respondent(s): LPL Financial LLC, Raymond Daigle, Robert Comeaux, Walter Bond, Commonwealth Financial Network, Comeaux Bond Daigle
Respondent Lawyers(s): Donna Phillips Currault, John W. Joyce
Arbitrator(s): David A. Schuler, Keith E. Robinson, Ralph Hamilton Schofield
Hearing Site: New Orleans, LA
|  | $600 |
| 18-00307 | 03/19/2020 | Claimant(s): Norma Ann Farmer Estate
Claimant Lawyers(s): William Kulick
Respondent(s): Bobby Conville, Wells Fargo Advisors
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Robert J. Gregory, James Kee Irvin, Richard J. Clement
Hearing Site: New Orleans, LA
| | $0 |
| 17-03377 | 01/06/2020 | Claimant(s): Danya Heroman
Claimant Lawyers(s): Michael M. Thompson
Respondent(s): Robert Smith, Cetera Investment Services LLC
Respondent Lawyers(s): Benjamin J. Biard
Arbitrator(s): Frank M Romano
Hearing Site: New Orleans, LA
| | Dismissed by Rule 12212(c) |
| 18-02895 | 10/16/2019 | Claimant(s): Anne Marie Fargason, Evelyn Chiasson
Claimant Lawyers(s): Frank "Kim" Breese
Respondent(s): Andrew Black, Morgan Stanley & Co.
Respondent Lawyers(s): Timothy B. Atkins
Arbitrator(s): Frank M Romano, Bertrand C. Moser, Allan R. Lazor
Hearing Site: New Orleans, LA
| | $109,323 |
| 18-02207 | 08/15/2019 | Claimant(s): Warren Pitre
Claimant Lawyers(s): Jason J. Kane
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Trae D. Meyr
Arbitrator(s): Sherry R. Wetsch, Ashley Lucile Belleau, Bertrand C. Moser
Hearing Site: New Orleans, LA
| | Expungement |
| 18-01828 | 07/08/2019 | Claimant(s): Linda Caillett, Linda V. Caillet IRA, Linda V. Caillet, Annuitant
Claimant Lawyers(s): Linda V. Caillett
Respondent(s): Daniel Newman, Heather Rosenthal, Edward Jones
Respondent Lawyers(s): Darren Goodman
Arbitrator(s): Mark A. Myers
Hearing Site: New Orleans, LA
| | $0 |
| 17-00698 | 07/01/2019 | Claimant(s): Charlene Gates, Succession of Richard Gates
Claimant Lawyers(s): Jessica Vasquez
Respondent(s): Irvin Schorsch, Pennsylvania Capital Management
Respondent Lawyers(s): Brian A. Carlis
Arbitrator(s): Mark A. Myers, Barbara L. Edin, Daniel J. Pagnano
Hearing Site: New Orleans, LA
| | $0 |
| 18-01389 | 05/09/2019 | Claimant(s): Mary Lott
Claimant Lawyers(s): Jonathan Kurta
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Patricia E. Cowart
Arbitrator(s): Allan R. Lazor
Hearing Site: New Orleans, LA
| | $0 |
| 18-02991 | 02/27/2019 | Claimant(s): Patrick Steve Juneau, Viola Marcotte Juneau
Claimant Lawyers(s): John G McCabe
Respondent(s): Mollie Taylor, Capital One Advisors, Capital One Investing
Respondent Lawyers(s): Jon S. Hubbard, Mollie Becker Taylor
Arbitrator(s): Onnig Hatchig Dombalagian
Hearing Site: New Orleans, LA
| | $1,644 |
| 18-03242 | 02/26/2019 | Claimant(s): Penny Eiffert
Claimant Lawyers(s): Penny P. Eiffert
Respondent(s): Chance Hodges, Erin Stieler, Karen Wilson Thissen, Susan Johnk, Ameriprise Financial Services.
Respondent Lawyers(s): Sydney H, Crowder
Arbitrator(s): Mary Elizabeth Skelnik
Hearing Site: New Orleans, LA
| | $0 |
