| 14-00987 | 11/16/2015 | Claimant(s): Alice Saffell, Cynthia Peterson
Claimant Lawyers(s): Alice Saffell, Cynthia A. Peterson
Respondent(s): Jack Kusch, Madison Avenue Securities.
Respondent Lawyers(s): Daniel A. Hetzel
Arbitrator(s): Donald K. Eckhardt, Brian James Tagtmeier, Elena DiIorio
Hearing Site: Houston, TX
|  | $15,000 |
| 13-01147 | 10/15/2015 | Claimant(s): Am Le, Bryan Truitt, Darlene Prince, Franz Wagner, Gary Prince, Mark Le, Oranelle Holsch, Ron Dewalt, Ronald Householder, Ronald Miller, Shari Truitt, Thu Le, Annemarie Wagner through Franz Wagner
Claimant Lawyers(s): Chris Bebel
Respondent(s): Edward Basham, Jaime Coronado
Respondent Lawyers(s): Edward Dee Basham, Jaime Xavier Coronado
Arbitrator(s): Sherry R. Wetsch, Andrea Joan Douglas, Amy Lynn Mitchell
Hearing Site: Houston, TX
| | $143,234 |
| 13-03730 | 09/04/2015 | Claimant(s): Nizam Meah, Griffin Capital (Westmont) Investor 19,
Claimant Lawyers(s): Kalju Nekvasil
Respondent(s): Ameriprise Financial Services., Justin Swope
Respondent Lawyers(s): Sydney H. Crowder
Arbitrator(s): William R. Jonson, Stephen James Cavanaugh, John Chelsea Allman
Hearing Site: Houston, TX
| | Expungement |
| 14-00868 | 09/04/2015 | Claimant(s): Janelle Lopez Walker
Claimant Lawyers(s): David Liebrader
Respondent(s): Wells Fargo Advisors, Darwin Wisener
Respondent Lawyers(s): Vanessa M. Hoffmann
Arbitrator(s): Daniel J. Pagnano
Hearing Site: Houston, TX
| | Expungement |
| 14-02240 | 08/24/2015 | Claimant(s): Jeanne Hebert
Claimant Lawyers(s): Jeanne H. Hebert
Respondent(s): Wells Fargo Advisors, Lindsey Barlow
Respondent Lawyers(s): Alan S. Rafterman
Arbitrator(s): Steve R. Neuman, Kathy R. Holler, Michele N. O'Brien
Hearing Site: Houston, TX
| | Expungement |
| 14-01015 | 07/28/2015 | Claimant(s): Cheryl Galyan, Ralph Galyan
Claimant Lawyers(s): Christa Samaniego
Respondent(s): Adriana Estevez, Morgan Stanley, Mark Magarian
Respondent Lawyers(s): Debra Achkire
Arbitrator(s): Steve R. Neuman, Walter F. Schleyer, Jack Chapline Vaughan
Hearing Site: Houston, TX
| | Expungement |
| 14-02518 | 07/28/2015 | Claimant(s): Dina Eldin, Munif Farhan
Claimant Lawyers(s): Dina Eldin
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): Jeffrey R. Jury
Hearing Site: Houston, TX
| | $9,233 |
| 14-03768 | 07/10/2015 | Claimant(s): Carl Smith, Joseph Baldassarra, Steven Baldassarra
Claimant Lawyers(s): Carl Smith
Respondent(s): Pieter Wijk
Respondent Lawyers(s): Hilton M. Wiener
Arbitrator(s): Michele N. O'Brien
Hearing Site: Houston, TX
| | $0 |
| 13-02390 | 05/15/2015 | Claimant(s): Ann McCorquodale, Knox McCorquodale, Rex McCorquodale
Claimant Lawyers(s): Andrew D. Gowdown
Respondent(s): Terry Chilton, Chilton Financial Services., Terry Chilton Financial Services, L.P.
Respondent Lawyers(s): Cory S. Reed
Arbitrator(s): Jack Chapline Vaughan, Allan R. Lazor, Daniel Stephen Dexter
Hearing Site: Houston, TX
| | $1,172,250 |
| 14-02928 | 05/15/2015 | Claimant(s): Sidney Saxon IRA
Claimant Lawyers(s): Richard A. Lewins
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): Robert M. Rudnicki
Arbitrator(s): Michael S. Yauch
Hearing Site: Houston, TX
| | $300 |
