| 21-02928 | 03/02/2023 | Claimant(s): Donald Tetrault
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Ameritas Investment Company
Respondent Lawyers(s): Benjamin J. Biard
Arbitrator(s): Mark C Watler, Alan M. Holzberg, Charles John McBride
Hearing Site: Houston, TX
|  | Dismissed by Rule 12206 |
| 20-02843 | 06/30/2022 | Claimant(s): Johnny Walker
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Network 1 Financial Securities Inc.
Respondent Lawyers(s): Timothy Feil
Arbitrator(s): Alan M. Holzberg, Shannon Lyn Mays, Denise Ereka Peterson
Hearing Site: Houston, TX
| | $1,232,770 |
| 16-01339 | 10/24/2017 | Claimant(s): James Bashaw, Jeb & Co.
Claimant Lawyers(s): David B. Cosgrove
Respondent(s): LPL Financial LLC, Mark Casady
Respondent Lawyers(s): Rodney Acker
Arbitrator(s): Peter Benz Dickens, Alan M. Holzberg, Brian James Tagtmeier
Hearing Site: Houston, TX
| | |
| 15-00994 | 06/16/2016 | Claimant(s): Waddell Jeffries
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Legend Securities.
Respondent Lawyers(s): Lawrence R. Gelber
Arbitrator(s): Bertrand C. Moser, Alan M. Holzberg, Daniel Stephen Dexter
Hearing Site: Houston, TX
| | $80,600 |
| 14-00151 | 12/15/2015 | Claimant(s): Eva C. Sarraga-Venegas, Ben. of Est. of, Jose F. Sarraga-Venegas, Exec/Ben.,Est., Laura I. Sarraga-Venegas, Ben. of Est. o
Claimant Lawyers(s): Edward H. Glenn
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Keith Olin
Arbitrator(s): Steven P. Gregory, Carolyn E. Moore, Alan M. Holzberg
Hearing Site: San Juan, PR
| | Expungement |
| 14-00115 | 03/27/2015 | Claimant(s): Valerie Hearn and Tom Hearn
Claimant Lawyers(s): Royal B. Lea
Respondent(s): Willard Golightly
Respondent Lawyers(s): Willard Lee Golightly
Arbitrator(s): Raymond L. Britton, Jack Chapline Vaughan, Alan M. Holzberg
Hearing Site: Houston, TX
| | $201,000 |
| 12-00074 | 12/09/2013 | Claimant(s): William Frisco
Claimant Lawyers(s): Brian E. Bro
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Carole Miller
Arbitrator(s): Gary D. Danna, Christine L. Stetson, Alan M. Holzberg
Hearing Site: Houston, TX
| | |
| 11-01699 | 04/04/2012 | Claimant(s): Gerard Fusco
Claimant Lawyers(s): Gerard Fusco
Respondent(s): Ameriprise Financial Services., James Gioia
Respondent Lawyers(s): LaToyia K. Pierce
Arbitrator(s): William M. Lacy, Leonard J. Sullivan, Alan M. Holzberg
Hearing Site: Houston, TX
| | $0 |
| 11-00594 | 02/29/2012 | Claimant(s): Robert Elberger
Claimant Lawyers(s): Ronald M. Cohen
Respondent(s): Wells Fargo Investments, Jay Haley
Respondent Lawyers(s): Martha F. McDugald
Arbitrator(s): Thomas D. Nagle, Dale A. Hearn, Alan M. Holzberg
Hearing Site: Houston, TX
| | $0 |
| 09-02552 | 11/14/2011 | Claimant(s): Fleming Endowment, Pelican Holdings, Ltd.
Claimant Lawyers(s): Dale Ledbetter
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): M. Jason Hale
Arbitrator(s): Karen Settle Newton, Jerry C. Prestridge, Alan M. Holzberg
Hearing Site: Houston, TX
| | $889,340 |
