| 19-00021 | 05/14/2020 | Claimant(s): Earnest Frederick, Timothy Moeller
Claimant Lawyers(s): Samuel B. Edwards
Respondent(s): LPL Financial LLC, First National Bank of Shiner
Respondent Lawyers(s): Jack D. Ballard
Arbitrator(s): Mary Esther Escobedo, Montie G. Grimes, Shannon Lyn Mays
Hearing Site: Houston, TX
|  | $0 |
| 19-03825 | 04/16/2020 | Claimant(s): Dorothy Kniker, Judith Gellhausen
Claimant Lawyers(s): Judith Gellhausen
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Patrick Christensen
Arbitrator(s): G. Maynard Green
Hearing Site: Houston, TX
| | $0 |
| 18-02961 | 03/05/2020 | Claimant(s): Charles Carson
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jacqueline R. Meyers
Arbitrator(s): G. Maynard Green, Daniel J. Pagnano, Wayne Reid Nelson
Hearing Site: Houston, TX
| | Dismissed by Rule 12206/12504 |
| 18-03143 | 02/18/2020 | Claimant(s): Dhavid Cooper, Guy Hodgson, Custodian for Dylan Hodgson, Custodian for Hunter Hodgson, Custodian for Matthew Hodgson
Claimant Lawyers(s): Leon H. Horne
Respondent(s): John Durig, Durig Capital Inc.
Respondent Lawyers(s): Justin C. Sawyer
Arbitrator(s): Donald K. Eckhardt, Jacqueline R. Fox, Jeffrey Bruce Bock
Hearing Site: Houston, TX
| | $0 |
| 19-02733 | 02/07/2020 | Claimant(s): Thomas Wilson
Claimant Lawyers(s): Thomas B. Wilson
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Christine A. Kendrick
Arbitrator(s): Christine L. Stetson
Hearing Site: Houston, TX
| | $3,136 |
| 19-00443 | 01/21/2020 | Claimant(s): Jose Medardo Burgos F, Maria Del Carmen G Burgos, Maria Medina-Luna Anaya
Claimant Lawyers(s): Kirk G. Smith
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Simon Levy
Arbitrator(s): Jack Chapline Vaughan, William A. Allen, Allan R. Lazor
Hearing Site: Houston, TX
| | $0 |
| 19-00592 | 01/14/2020 | Claimant(s): Bryan Parker, Jessica Valentine, Parker Family Trust
Claimant Lawyers(s): Joseph R. Marrs
Respondent(s): Interactive Brokers LLC
Respondent Lawyers(s): Carlos E. Provencio
Arbitrator(s): Lynne M. Gomez, Robert C. Rice, Stephen Andrew McCarthy
Hearing Site: Houston, TX
| | $0 |
| 18-01476 | 01/03/2020 | Claimant(s): Willie Mae Kalisek
Claimant Lawyers(s): Jason E. Williams
Respondent(s): Edward Jones, Ruben Hope
Respondent Lawyers(s): Donald R. Littlefield
Arbitrator(s): James A. Parker, Malcolm Edwin Whittaker, Jeffrey R. Jury
Hearing Site: Houston, TX
| | $0 |
| 18-00647 | 12/20/2019 | Claimant(s): Lydia Chopin
Claimant Lawyers(s): Eric G Behrens
Respondent(s): Morgan Stanley, Kathleen Perry
Respondent Lawyers(s): Andrew R. Harvin
Arbitrator(s): Sherry R. Wetsch, Shannon Lyn Mays, Cara Elizabeth Carlson
Hearing Site: Houston, TX
| | $0 |
| 18-02253 | 12/18/2019 | Claimant(s): Joey Singleton IRA
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jennifer N. Lamirand
Arbitrator(s): Raymond C. Kerr, Malcolm Edwin Whittaker, Kevin Colby
Hearing Site: Houston, TX
| | $0 |
