| 17-02783 | 12/07/2018 | Claimant(s): Stephen Shaper
Claimant Lawyers(s): Jennifer Tarr
Respondent(s): Andrew Tressler, Cassandra Woodward, Todd Aitken, Liberty Partners Financial Services
Respondent Lawyers(s): Eric J. Sussman
Arbitrator(s): Dale A. Hearn, Brian James Tagtmeier, Stuart Diamond
Hearing Site: Houston, TX
|  | $0 |
| 17-03507 | 11/13/2018 | Claimant(s): Margarita Briggs, Michael Briggs
Claimant Lawyers(s): Kristian Kraszewski
Respondent(s): BOK Financial Securities.
Respondent Lawyers(s): Jared Burden
Arbitrator(s): Sherry R. Wetsch
Hearing Site: Houston, TX
| | $22,072 |
| 17-00756 | 10/02/2018 | Claimant(s): David Morin
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Windsor Street Capital
Respondent Lawyers(s): John Stalanski, CCO
Arbitrator(s): R. Lee Britton Jr., Montie G. Grimes, Jonathan Charles Day
Hearing Site: Houston, TX
| | $287,186 |
| 17-01933 | 08/31/2018 | Claimant(s): Applied Medical Research Inc.
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): USAA Financial Advisors.
Respondent Lawyers(s): Theodre C. Schultz
Arbitrator(s): Michael S. Yauch
Hearing Site: Houston, TX
| | $0 |
| 18-00522 | 08/30/2018 | Claimant(s): Edwin B. and Ellen L. Smith Irrevocable
Claimant Lawyers(s): Stephen Smith
Respondent(s): James Wheaton, Krishna Rani Jeffries, Fidelity Brokerage Services LLC
Respondent Lawyers(s): Noah D. Sorkin
Arbitrator(s): Frank M. Romano
Hearing Site: Houston, TX
| | $0 |
| 17-03069 | 07/05/2018 | Claimant(s): Eli Garza
Claimant Lawyers(s): Scott L. Silver
Respondent(s): Mark Plummer, Texas E&P Partners.
Respondent Lawyers(s): Mark Allan Plummer, Mark Plummer
Arbitrator(s): William R. Jonson
Hearing Site: Houston, TX
| | $1,521,300 |
| 16-00647 | 05/25/2018 | Claimant(s): John Barry Glenn, Nancy P. Glenn
Claimant Lawyers(s): Jason T. Albin
Respondent(s): Morgan Stanley, RBC Capital Markets LLC, Robert Dennison
Respondent Lawyers(s): John P. Kincade, Kimberly J. Gustafson
Arbitrator(s): Richard F. Dole, Malcolm Edwin Whittaker, Michael S. Yauch
Hearing Site: Houston, TX
| | Expungement |
| 17-01188 | 05/15/2018 | Claimant(s): Peggy Batson, The Estate of Evelyn C. Batson, Peggy L. Batson on behalf of her IRA
Claimant Lawyers(s): Mark A. Tepper
Respondent(s): First Kentucky Securities Corporation
Respondent Lawyers(s): Richard S. Frankowski
Arbitrator(s): Brian James Tagtmeier, Chermaine Nkomo, Daniel L. Fulkerson
Hearing Site: Houston, TX
| | $35,000 |
| 15-03228 | 04/24/2018 | Claimant(s): Interactive Brokers LLC
Claimant Lawyers(s): David Luger
Respondent(s): Huzaifa Husain
Respondent Lawyers(s): Huzaifa Husain
Arbitrator(s): Malcolm Edwin Whittaker, Mary Esther Escobedo, Julie Marie Miller
Hearing Site: Houston, TX
| | $0 |
| 16-01663 | 03/30/2018 | Claimant(s): Fionnuala Stockton, Joseph Stockton, JFS Ventures Ltd.
Claimant Lawyers(s): Edward H. Glenn
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Alise J. Henry
Arbitrator(s): Daniel J. Pagnano, Allan R. Lazor, Jonathan Charles Day
Hearing Site: Houston, TX
| | Expungement |
