| 21-01067 | 03/15/2023 | Claimant(s): Christopher Hamby
Claimant Lawyers(s): Robert H Rex
Respondent(s): McNally Financial Services Corporation
Respondent Lawyers(s): Gary S. Kessler
Arbitrator(s): Brian James Tagtmeier, June Ann Mann, Phyllis Ann Diamond
Hearing Site: Houston, TX
|  | Expungement |
| 21-02928 | 03/02/2023 | Claimant(s): Donald Tetrault
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Ameritas Investment Company
Respondent Lawyers(s): Benjamin J. Biard
Arbitrator(s): Mark C Watler, Alan M. Holzberg, Charles John McBride
Hearing Site: Houston, TX
| | Dismissed by Rule 12206 |
| 21-02603 | 02/16/2023 | Claimant(s): Estate of Gloria Elizondo Altamirano
Claimant Lawyers(s): Robert H. Rex
Respondent(s): LPL Financial LLC, Jose Cruz
Respondent Lawyers(s): Jack D. Ballard
Arbitrator(s): Brian James Tagtmeier, Stephen Andrew McCarthy, John Donahue Sullivan
Hearing Site: Houston, TX
| | Expungement |
| 22-00590 | 02/09/2023 | Claimant(s): Ricardo Aguirre
Claimant Lawyers(s): Ricardo Aguirre
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Jennifer A. Stevens
Arbitrator(s): Stephanie E. Simmons
Hearing Site: Houston, TX
| | Dismissed by Rules 12212(c), 12511(b) and 12603 |
| 21-02427 | 02/08/2023 | Claimant(s): Catalina Hernandez-Sanchez, Luis Juarez-Hernandez
Claimant Lawyers(s): Kirk G. Smith
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Nuviah Shirazi
Arbitrator(s): Jeff Kilgore, Brian James Tagtmeier, Mina Banerjee
Hearing Site: Houston, TX
| | Expungement |
| 21-02261 | 02/06/2023 | Claimant(s): Rahim Jiwa
Claimant Lawyers(s): Ryan Cook
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Gordon C. Young
Arbitrator(s): Jacqueline R. Fox, Denise Ereka Peterson, Vincent Vereen
Hearing Site: Houston, TX
| | Expungement |
| 20-02401 | 12/23/2022 | Claimant(s): Ramakrishna Chav MD PA, for its 401Ks, Ramakrishna Chava MD PA, for its PSP, Ramakrishna Chava, for his Roth IRA, for his SEP IRA, Chava Family LP, a Partnership, Ramakrishna Chava as Trustee
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Fred Knopf
Arbitrator(s): Sherry R. Wetsch, Allan R. Lazor, Lisa Lemons
Hearing Site: Houston, TX
| | Expungement |
| 20-02670 | 12/22/2022 | Claimant(s): Moody National DST Sponsor
Claimant Lawyers(s): Douglas A. Daniels
Respondent(s): Charles Schwab & Co.., Zachariah Bickers
Respondent Lawyers(s): Jack D. Ballard
Arbitrator(s): Stephanie E. Simmons, William Guy Arnot, Stephen Neil Foster
Hearing Site: Houston, TX
| | $0 |
| 22-01100 | 10/07/2022 | Claimant(s): Lester Tarver
Claimant Lawyers(s): Lester Tarver
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Jennifer A. Stevens
Arbitrator(s): Thomas A. Martin
Hearing Site: Houston, TX
| | $0 |
| 21-01768 | 08/25/2022 | Claimant(s): Tricia Wilson
Claimant Lawyers(s): Lars Soreide
Respondent(s): Clarissa Beltran, Wells Fargo Clearing Services
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): James Wallace Boeckman, G. Dennis Sheehan, James Douglas Gaughan
Hearing Site: Houston, TX
| | Expungement |
