| 16-03390 | 03/26/2018 | Claimant(s): Kathryn Childress Irrevocable Trust
Claimant Lawyers(s): Shari P. Pulman
Respondent(s): Scottrade Inc., Clyde Jones
Respondent Lawyers(s): Clyde Mick Jones, Niels P. Murphy
Arbitrator(s): Mary Esther Escobedo, James Wallace Boeckman, Jude A Smith
Hearing Site: Houston, TX
|  | $905,000 |
| 16-03199 | 02/09/2018 | Claimant(s): William J. Mosley IRA, William J. Mosley & Karen Mosley JT/WROS
Claimant Lawyers(s): Christopher E. Geotes
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): Gianluca Morello
Arbitrator(s): Thomas A. Martin, Maryanne M. Esser, Cara Elizabeth Carlson
Hearing Site: Houston, TX
| | $254,250 |
| 16-01205 | 02/08/2018 | Claimant(s): Morris Steller
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): Peter Voldness, Thomas Heinzen, Emergent Financial Group.
Respondent Lawyers(s): Randy J. Sparling
Arbitrator(s): Michael S. Yauch, Brian James Tagtmeier, Camille Morris Tankersley
Hearing Site: Houston, TX
| | $0 |
| 16-01180 | 01/02/2018 | Claimant(s): Stephen Western
Claimant Lawyers(s): Stephany D. McLaughlin
Respondent(s): Donald Beary, Jon Stanfield, Susan Vargason
Respondent Lawyers(s): Benjamin J. Biard
Arbitrator(s): David D. McNally, Eric R. Benton, Francis Joseph Bourgeois
Hearing Site: Houston, TX
| | Dismissed by Rule 12206 |
| 17-00513 | 12/29/2017 | Claimant(s): David Petersen
Claimant Lawyers(s): Lars Kristian Soreide
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Alise J. Henry
Arbitrator(s): Brian James Tagtmeier
Hearing Site: Houston, TX
| | Expungement |
| 16-02280 | 12/26/2017 | Claimant(s): Alfonso Barrera, Ana Barrera, Laura Barrera, Marisa Barrera, Veronica Barrera, West Houston 2 Defined Benefit Plan, West Houston Plastic Surgery Defined
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): Daniel Kersten, Edith Schoenberger, Eugene Schoenberger, UBS Financial Services Inc., Stephanie Kersten
Respondent Lawyers(s): Alise J. Henry, Lars K. Soreide
Arbitrator(s): Daniel J. Pagnano, Brian James Tagtmeier, Robert Sullivan Tyler
Hearing Site: Houston, TX
| | Expungement |
| 16-03332 | 11/29/2017 | Claimant(s): Steven Pritchard
Claimant Lawyers(s): Richard A Lewins
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Joelle A. Simms
Arbitrator(s): William A. Allen, Royal B. Lea, Brian James Tagtmeier
Hearing Site: Houston, TX
| | Expungement |
| 15-02136 | 11/20/2017 | Claimant(s): Trust No. 911 A/KA Banco Invex S.A
Claimant Lawyers(s): Brian Levin
Respondent(s): Deutsche Bank Securities.
Respondent Lawyers(s): Mark L. Parmelee
Arbitrator(s): Mary Ann Tunick, Donald K. Eckhardt, Robert Alan Meyer
Hearing Site: Houston, TX
| | Expungement |
| 17-00068 | 11/07/2017 | Claimant(s): Christopher Haydon, Joan Haydon
Claimant Lawyers(s): David Miller
Respondent(s): Royal Alliance Associates.
Respondent Lawyers(s): Martin Schexnayder
Arbitrator(s): Donald K. Eckhardt, Pamela Marcell Carroll, James A. Crouch
Hearing Site: Houston, TX
| | $280,751 |
| 16-01800 | 11/01/2017 | Claimant(s): Jeffrey Rombs IRA, Kathrine Driscoll IRA, Michael Rombs IRA, Ralph Auguillard IRA, Reginald Bardin IRA, Ronnie Rombs IRA, Stephen Driscoll IRA, Van Russell IRA
Claimant Lawyers(s): Gary Menzer
Respondent(s): Christopher Gammon, Jackie Wadsworth, Joshua Patterson, Michael Spears, Stacey Rognon, IMS Securities.
Respondent Lawyers(s): Martin Schexnayder
Arbitrator(s): Jeffrey R. Jury, Stephen James Cavanaugh, Brian James Tagtmeier
Hearing Site: Houston, TX
| | $2,304,540 |
