| 24-00283 | 10/21/2024 | Claimant(s): Brian Bova
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Cabot Lodge Securities LLC
Respondent Lawyers(s): James Baehr
Arbitrator(s): Sherry R. Wetsch
Hearing Site: Houston, TX
| | |
| 23-00256 | 06/21/2024 | Claimant(s): Maria Cristina Donnelly
Claimant Lawyers(s): David Cook
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Justin Opitz
Arbitrator(s): Sherry R. Wetsch, Maryanne M. Esser, Allan R. Lazor
Hearing Site: Houston, TX
|  | $0 |
| 23-02833 | 06/14/2024 | Claimant(s): Kevin Wright, Shay Scruggs
Claimant Lawyers(s): Brent A. Burns
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): John Murphy
Arbitrator(s): Sherry R. Wetsch, Robert C. Rice, Bill Ray Haley
Hearing Site: Houston, TX
| | |
| 23-01937 | 04/15/2024 | Claimant(s): Donald Laurence
Claimant Lawyers(s): Stephan Louviere
Respondent(s): Hilltop Securities Inc.
Respondent Lawyers(s): David M. Clem
Arbitrator(s): Sherry R. Wetsch
Hearing Site: Houston, TX
| | |
| 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 |
| 22-00728 | 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 |
| 22-01792 | 04/20/2023 | Claimant(s): Pat Patterson
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Edward Jones
Respondent Lawyers(s): Jonathan W. Hackbarth
Arbitrator(s): Sherry R. Wetsch
Hearing Site: Houston, TX
| | |
| 22-01813 | 04/14/2023 | Claimant(s): Troy Taylor
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Wells Fargo Investments
Respondent Lawyers(s): Jason Kempf
Arbitrator(s): Sherry R. Wetsch
Hearing Site: Houston, TX
| | |
| 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 |
