| 18-01475 | 02/04/2019 | Claimant(s): Michael Murphy
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Edward Jones
Respondent Lawyers(s): Paul Yarns
Arbitrator(s): Sherry R. Wetsch
Hearing Site: Houston, TX
| | |
| 18-00558 | 01/18/2019 | Claimant(s): Beth Hearn
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Waddell & Reed
Respondent Lawyers(s): Carolyn Browne
Arbitrator(s): Sherry R. Wetsch
Hearing Site: Houston, TX
| | |
| 17-03507 | 11/13/2018 | Claimant(s): Margarita Briggs, Michael Briggs
Claimant Lawyers(s): Kristian Kraszewski
Respondent(s): BOK Financial Securities.
Respondent Lawyers(s): Jared Burden
Arbitrator(s): Sherry R. Wetsch
Hearing Site: Houston, TX
|  | $22,072 |
| 18-00979 | 11/07/2018 | Claimant(s): Kelly Kerr
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Sherry R. Wetsch
Hearing Site: Houston, TX
| | |
| 18-01543 | 09/24/2018 | Claimant(s): John Carolyn
Claimant Lawyers(s): Alise Johnson Henry
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Craig A. Vollono
Arbitrator(s): Sherry R. Wetsch
Hearing Site: Houston, TX
| | |
| 17-03295 | 07/13/2018 | Claimant(s): William Wolfe
Claimant Lawyers(s): Armin Sarabi
Respondent(s): Hilltop Securities Independent Network I
Respondent Lawyers(s): Jonathan D. Neerman
Arbitrator(s): Sherry R. Wetsch
Hearing Site: Oklahoma City, OK
| | |
| 16-02741 | 05/18/2018 | Claimant(s): Blanca Toledo de Moreda, The Estate of the Late Manuel A. Moreda
Claimant Lawyers(s): Jacob H. Zamansky
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Santander Securities LLC
Respondent Lawyers(s): Ana Margarita Rodriguez Rivera, Keith Olin
Arbitrator(s): Nancy J. Cliff, Sherry R. Wetsch, Jay B. Bachar
Hearing Site: San Juan, PR
| | Expungement |
| 16-02133 | 05/10/2018 | Claimant(s): Josue Delucca Colon, Sandra Velilla Ortiz
Claimant Lawyers(s): Eric Norstedt
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Katelyn H. Wilson, Roberto Quinones-Rivera
Arbitrator(s): Sherry R. Wetsch, Jane C. Carney, Jack A. Helms
Hearing Site: San Juan, PR
| | Expungement |
| 15-01084 | 02/16/2016 | Claimant(s): Barbara Schroeder, Stefan Kreuzer, BAPG Partnership Ltd.
Claimant Lawyers(s): Robert L. Herskovits
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Michael Rogala
Respondent Lawyers(s): Nick Hendrix
Arbitrator(s): Sherry R. Wetsch, Philip I. McConnell, Jeffrey R. Jury
Hearing Site: Houston, TX
| | Expungement |
| 14-01822 | 01/20/2016 | Claimant(s): Alan Azar
Claimant Lawyers(s): Royal B. Lea
Respondent(s): EDI Financial.
Respondent Lawyers(s): Joseph L. Hood
Arbitrator(s): Thomas A. Cipolla, Richard F. Dole, Sherry R. Wetsch
Hearing Site: Houston, TX
| | $273,606 |
