24-00986 | 09/06/2024 | Claimant(s): Christopher Smith Claimant Lawyers(s): Christopher Smith Respondent(s): Moomoo Financial Inc. Respondent Lawyers(s): Cameron S. Matheson Arbitrator(s): Brian James Tagtmeier Hearing Site: Houston, TX
| | $4,684 |
22-01471 | 11/09/2023 | Claimant(s): Jessie Wheat Claimant Lawyers(s): Nicholas H. Berg Respondent(s): LPL Financial LLC, William Poulter Respondent Lawyers(s): Matthew Bohenek Arbitrator(s): Jo-Marie Lisa, Brian James Tagtmeier, Nadine Michele Ramsey Hearing Site: New Orleans, LA
| | Expungement |
22-00408 | 08/29/2023 | Claimant(s): Rafael Friederichsen Claimant Lawyers(s): S. Bruce Hiran Respondent(s): BBVA Securities Inc. Respondent Lawyers(s): John O. Lukanski Arbitrator(s): Daniel J. Pagnano, Brian James Tagtmeier, Katherine Parsley Hearing Site: Houston, TX
| | |
21-02447 | 08/25/2023 | Claimant(s): Estate of Richard O. Bertschinger Claimant Lawyers(s): Bryan J. Nowlin Respondent(s): Vanguard Marketing Corporation Respondent Lawyers(s): Paula D. Shaffner Arbitrator(s): Karen Roberts Washington, Diane Shafer Goldschmidt, Brian James Tagtmeier Hearing Site: Oklahoma City, OK
| | $0 |
22-00748 | 07/21/2023 | Claimant(s): Myles Terry Claimant Lawyers(s): Myles Edward Terry Respondent(s): Carla Backus, Ameriprise Financial Services. Respondent Lawyers(s): Corye Backus, Edward A. Walton Arbitrator(s): Leah Murray Albert, Teresa A. Dunn, Brian James Tagtmeier Hearing Site: Little Rock, AR
| | $0 |
21-01067 | 03/15/2023 | Claimant(s): Christopher Hamby Claimant Lawyers(s): Robert H Rex Respondent(s): McNally Financial Services Corporation Respondent Lawyers(s): Gary S. Kessler Arbitrator(s): Brian James Tagtmeier, June Ann Mann, Phyllis Ann Diamond Hearing Site: Houston, TX
| | Expungement |
21-02603 | 02/16/2023 | Claimant(s): Estate of Gloria Elizondo Altamirano Claimant Lawyers(s): Robert H. Rex Respondent(s): LPL Financial LLC, Jose Cruz Respondent Lawyers(s): Jack D. Ballard Arbitrator(s): Brian James Tagtmeier, Stephen Andrew McCarthy, John Donahue Sullivan Hearing Site: Houston, TX
| | Expungement |
21-02427 | 02/08/2023 | Claimant(s): Catalina Hernandez-Sanchez, Luis Juarez-Hernandez Claimant Lawyers(s): Kirk G. Smith Respondent(s): Wells Fargo Clearing Services Respondent Lawyers(s): Nuviah Shirazi Arbitrator(s): Jeff Kilgore, Brian James Tagtmeier, Mina Banerjee Hearing Site: Houston, TX
| | Expungement |
21-02663 | 07/20/2022 | Claimant(s): Daniel Mercer Claimant Lawyers(s): Daniel Aaron Mercer Respondent(s): Raymond James Financial Services. Respondent Lawyers(s): Laura T. Ruiz Rivera Arbitrator(s): Stephen T. Johnson, Brian James Tagtmeier, Katherine Parsley Hearing Site: Houston, TX
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21-00762 | 07/05/2022 | Claimant(s): Alfred Nagel, Carol Nagel Claimant Lawyers(s): Kyle M Kulzer Respondent(s): Fidelity Brokerage Services LLC Respondent Lawyers(s): Rebecca E. Swenson Arbitrator(s): Mark L. Williams, Brian James Tagtmeier, Russell Caldwell Ducoff Hearing Site: Houston, TX
| | Expungement |