| 20-02128 | 02/17/2021 | Claimant(s): Bill Thompson
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Sara B. Davis
Arbitrator(s): Sherry R. Wetsch
Hearing Site: Oklahoma City, OK
| | |
| 19-01232 | 02/02/2021 | Claimant(s): Monte G'Sell, Monte Land G'Sell Revocable Living Trust
Claimant Lawyers(s): Nelson S. Ebaugh
Respondent(s): Thomas Badgett, TradingBlock
Respondent Lawyers(s): Martin Schexnayder
Arbitrator(s): Sherry R. Wetsch, Maryanne M. Esser, Thomas Deon Warner
Hearing Site: Houston, TX
|  | $147,642 |
| 20-00663 | 11/27/2020 | Claimant(s): Daniel Misse
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Voya Financial Advisors.
Respondent Lawyers(s): Benjamin J. Biard
Arbitrator(s): Sherry R. Wetsch
Hearing Site: New Orleans, LA
| | |
| 20-00950 | 11/24/2020 | Claimant(s): Christopher Gammon
Claimant Lawyers(s): Chad Weaver
Respondent(s): IMS Securities.
Respondent Lawyers(s): Jackie Wadsworth
Arbitrator(s): Sherry R. Wetsch
Hearing Site: Houston, TX
| | |
| 20-00354 | 10/01/2020 | Claimant(s): Michael Sullivan
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Geoff Beckham
Arbitrator(s): Sherry R. Wetsch
Hearing Site: Houston, TX
| | |
| 18-04030 | 08/07/2020 | Claimant(s): Inversiones Aida y Luis Inc., a/k/a
Claimant Lawyers(s): Robert Wayne Pearce
Respondent(s): Santander Securities LLC
Respondent Lawyers(s): Nicholas P. Crowell
Arbitrator(s): Sherry R. Wetsch, William Gilbert Faulk, Mark J. McCarthy
Hearing Site: San Juan, PR
| | $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 |
| 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 |
| 18-02207 | 08/15/2019 | Claimant(s): Warren Pitre
Claimant Lawyers(s): Jason J. Kane
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Trae D. Meyr
Arbitrator(s): Sherry R. Wetsch, Ashley Lucile Belleau, Bertrand C. Moser
Hearing Site: New Orleans, LA
| | Expungement |
| 18-04414 | 07/16/2019 | Claimant(s): Nita Pastor
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): A. G. Edwards & Sons.
Respondent Lawyers(s): Patricia E. Cowart
Arbitrator(s): Sherry R. Wetsch
Hearing Site: New Orleans, LA
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