| 23-01814 | 10/27/2023 | Claimant(s): Hooman Jarollahi, Monireh Moayedi Pour Fard
Claimant Lawyers(s): Hooman Jarollahi
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Noah D. Sorkin
Arbitrator(s): Michael S. Yauch
Hearing Site: Houston, TX
|  | $425 |
| 22-02024 | 10/24/2023 | Claimant(s): Scott Parker, Sharon Parker
Claimant Lawyers(s): Jeffrey B. Kaplan
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Charlotte S. Wolfe
Arbitrator(s): Sherry R. Wetsch, Lynne M. Gomez, Ashika S Brinkley
Hearing Site: Houston, TX
| | Expungement |
| 22-02882 | 10/03/2023 | Claimant(s): Charla Duncan
Claimant Lawyers(s): Jonathan Schwartz
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Jeffery D. Rodgers
Arbitrator(s): Sherry R. Wetsch
Hearing Site: Houston, TX
| | Expungement |
| 22-00960 | 10/02/2023 | Claimant(s): Woodie T. Barnes & Lori J. Barnes
Claimant Lawyers(s): Kirk G. Smith
Respondent(s): Centaurus Financial.
Respondent Lawyers(s): Kendra S. Canape
Arbitrator(s): Jeff Kilgore, June Ann Mann, Stanley Edward Williams
Hearing Site: Houston, TX
| | Expungement |
| 22-00728 | 09/12/2023 | Claimant(s): Robert Cappiello
Claimant Lawyers(s): Nicholas J. Guiliano
Respondent(s): McNally Financial Services Corporation
Respondent Lawyers(s): Gary S. Kessler
Arbitrator(s): Jacqueline R. Fox, Sherry R. Wetsch, Allan R. Lazor
Hearing Site: Houston, TX
| | Expungement |
| 23-00770 | 09/08/2023 | Claimant(s): AIStorm.
Claimant Lawyers(s): Robert J. Barker
Respondent(s): Citigroup Global Markets., Shannon Koffman
Respondent Lawyers(s): Ellen M. Murphy
Arbitrator(s): Robert C. Rice
Hearing Site: Houston, TX
| | $0 |
| 22-02786 | 07/13/2023 | Claimant(s): Cyrus Sajna
Claimant Lawyers(s): Cyrus Sajna
Respondent(s): Tigress Financial Partners
Respondent Lawyers(s): Kris Taylor
Arbitrator(s): Daniel D. Hill, Nohayia Javed, Bernardo S. Garza
Hearing Site: Houston, TX
| | Dismissed by Rule 12504 |
| 19-01127 | 04/28/2023 | Claimant(s): Trent L. Rosenthal Trust
Claimant Lawyers(s): Samuel B. Edwards
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Anthony J. Borrelli
Arbitrator(s): Francis Joseph Bourgeois, Julie Marie Miller, Edwin Kisiel
Hearing Site: Houston, TX
| | Expungement |
| 22-02681 | 03/22/2023 | Claimant(s): Adrienne LaViolette
Claimant Lawyers(s): Adrienne LaViolette
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): Robert C. Rice
Hearing Site: Houston, TX
| | $0 |
| 21-02651 | 03/22/2023 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Matthew B. Henneman
Respondent(s): Gregory Novak, Tracy Druce
Respondent Lawyers(s): Gregory Novak, Tracy Druce
Arbitrator(s): Linda Broocks, Daniel J. Pagnano, William G Brown
Hearing Site: Houston, TX
| | $260,436 |
