| 18-00177 | 04/08/2019 | Claimant(s): Jeffrey Cox, Samuel Garrido
Claimant Lawyers(s): Lars Soreide
Respondent(s): LPL Financial LLC, Cetera Investment Services LLC
Respondent Lawyers(s): David J. Freniere, Sean T. Needham
Arbitrator(s): Daniel J. Pagnano, Charles Leonard Smith, Nick Thomas
Hearing Site: Houston, TX
|  | Expungement |
| 18-02543 | 04/05/2019 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Brandon K. Hemley
Respondent(s): Joseph Talafous
Respondent Lawyers(s): Joseph A Talafous
Arbitrator(s): Michael Louis Goldstone
Hearing Site: Houston, TX
| | $0 |
| 18-01421 | 04/01/2019 | Claimant(s): Wendy McDaniel
Claimant Lawyers(s): Scott L. Silver
Respondent(s): Windsor Street Capital
Respondent Lawyers(s): John Stalanski
Arbitrator(s): Daniel J. Pagnano
Hearing Site: Houston, TX
| | $100,000 |
| 17-02604 | 03/25/2019 | Claimant(s): Kathy Engberg
Claimant Lawyers(s): Kathy Engberg
Respondent(s): Wells Fargo Advisors, Richard Dunagan
Respondent Lawyers(s): T.R. Bynum
Arbitrator(s): Frank M. Romano, Thomas A. Martin, Eric R. Benton
Hearing Site: Houston, TX
| | $0 |
| 17-01426 | 02/19/2019 | Claimant(s): Beatrice Welscher, Craig Welscher, Norma Welscher
Claimant Lawyers(s): Leonard J. Meyer
Respondent(s): Wells Fargo Clearing Services, Richard DeYoung
Respondent Lawyers(s): Edward F. Fernandes
Arbitrator(s): Thomas M. Campbell, Leonard J. Sullivan, Jeff Kilgore
Hearing Site: Houston, TX
| | $786,600 |
| 18-03178 | 02/14/2019 | Claimant(s): Kristi Prewitt
Claimant Lawyers(s): Kristi Prewitt
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith F. Hoffman
Arbitrator(s): Raymond C. Kerr
Hearing Site: Houston, TX
| | $0 |
| 15-02845 | 01/16/2019 | Claimant(s): Royce Felder
Claimant Lawyers(s): Hilton Wiener
Respondent(s): Ahmad Wares, Anthony Caruso, Christopher Martin, Yvonne Owens, C.K. Cooper & Company.
Respondent Lawyers(s): Ahmad Wares, Alex Montano, Anthony Phillip Caruso, Christopher M. Martin, Yvonne R. Owens
Arbitrator(s): Susan Meek, Brian James Tagtmeier, Robert C. Rice
Hearing Site: Houston, TX
| | $0 |
| 18-01518 | 01/16/2019 | Claimant(s): John Mercaldi
Claimant Lawyers(s): John Mercaldi
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): James A. Parker
Hearing Site: Houston, TX
| | $0 |
| 18-00629 | 12/24/2018 | Claimant(s): John Shull
Claimant Lawyers(s): John C. Shull
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): Michael S. Yauch
Hearing Site: Houston, TX
| | $0 |
| 17-01985 | 12/21/2018 | Claimant(s): Sally Reagan
Claimant Lawyers(s): Nelson S. Ebaugh
Respondent(s): Morgan Stanley, Ganesh Iyer
Respondent Lawyers(s): Crystal Robles, Nicholas N. George
Arbitrator(s): Daniel J. Pagnano, Christine L. Stetson, Maryanne M. Esser
Hearing Site: Houston, TX
| | $54,954 |
