| 19-00144 | 11/25/2019 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Jonathan D. Berg
Respondent(s): Terence Daniels
Respondent Lawyers(s): Terence Daniels
Arbitrator(s): Thomas A. Martin
Hearing Site: Houston, TX
|  | $86,081 |
| 17-00904 | 11/13/2019 | Claimant(s): Juan Angel Rodriguez, Myriam Gonzalez
Claimant Lawyers(s): Lawrence Bradley Hancock
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jack D. Ballard
Arbitrator(s): Maryanne M. Esser, Malcolm Edwin Whittaker, Allan R. Lazor
Hearing Site: Houston, TX
| | $1,554,840 |
| 18-00543 | 11/04/2019 | Claimant(s): Paula Adams
Claimant Lawyers(s): Mark S. Fryman
Respondent(s): UBS Financial Services Inc., Mark Katz
Respondent Lawyers(s): Anthony J. Borrelli
Arbitrator(s): Brian James Tagtmeier, Daniel L. Fulkerson, Jeffrey Bruce Bock
Hearing Site: Houston, TX
| | $497,620 |
| 17-00829 | 10/15/2019 | Claimant(s): Joseph Camp, Robin Camp, The Pauline M. Camp Family Trust
Claimant Lawyers(s): James P. Booker
Respondent(s): IMS Securities.
Respondent Lawyers(s): Jackie Wadsworth
Arbitrator(s): Sherry R. Wetsch, Shannon Lyn Mays, Jewel Elizabeth Smith
Hearing Site: Houston, TX
| | $410,000 |
| 18-03141 | 09/11/2019 | Claimant(s): Betty Bailey, Betty Bailey IRA
Claimant Lawyers(s): David W. Miller
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Paul D. Flack
Arbitrator(s): Lynne M. Gomez, Camille Morris Tankersley, Heather Gaile Layton
Hearing Site: Houston, TX
| | $555,000 |
| 18-00810 | 07/15/2019 | Claimant(s): Clara Luna, Marcelo Luna, Clara Luna IRA, Marcelo Luna IRA
Claimant Lawyers(s): D. Daxton White
Respondent(s): IMS Securities.
Respondent Lawyers(s): Jackie Wadsworth
Arbitrator(s): Daniel P. Urban, Jeff Kilgore, Brenda Pickens Seals
Hearing Site: Houston, TX
| | $582,644 |
| 17-02117 | 06/04/2019 | Claimant(s): Estate of Emil William Holiner
Claimant Lawyers(s): Jessica S. Taylor
Respondent(s): Eric McIntyre, Gary Hartman
Respondent Lawyers(s): Ellen Sessions
Arbitrator(s): Kathy R. Holler, Jeffrey R. Jury, Michael S. Yauch
Hearing Site: Houston, TX
| | Expungement |
| 16-02863 | 05/17/2019 | Claimant(s): Mark E. Viator IRA
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Fred N. Knopf
Arbitrator(s): Raymond C. Kerr, David C. Redford, Allan R. Lazor
Hearing Site: Houston, TX
| | $0 |
| 18-00112 | 04/24/2019 | Claimant(s): Jeffrey Cox, Samuel Garrido
Claimant Lawyers(s): Lars Soreide
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Nicholas N. George
Arbitrator(s): Christine L. Stetson, Maryanne M. Esser, Shannon Lyn Mays
Hearing Site: Houston, TX
| | Expungement |
| 16-03743 | 04/22/2019 | Claimant(s): Aileen Vidaud, Alexander Travieso, Amanda Fly, Barbara Edge, Dana Cooper, Donnella Tyler, Edward Fly, James Reynolds, Leila Reynolds, Lina Gibbs, Lynn Gibbs, Michael Edge, Patricia McDaniel, Robert Cooper, Robert Tyler, Shirley Jones, Trent McDaniel, William Vidaud, Estate of J. Michelle Edge, Aileen Vidaud IRA, et al
Claimant Lawyers(s): David W. Miller
Respondent(s): David Williams, Wilson Williams
Respondent Lawyers(s): Dena L. Mathis
Arbitrator(s): Bertrand C. Moser, Stephen James Cavanaugh, Camille Morris Tankersley
Hearing Site: Houston, TX
| | $358,387 |
