| 20-03856 | 05/05/2022 | Claimant(s): Elise Oren, John Oren
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Rebecca K. Lindahl
Arbitrator(s): Brian James Tagtmeier, David Aaron DeSoto, Nile Bailey Copeland
Hearing Site: Houston, TX
|  | $3,862,630 |
| 21-01598 | 04/14/2022 | Claimant(s): Christian Bauman, Patrick Mendenhall
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): USCA RIA LLC, USCA Securities LLC
Respondent Lawyers(s): Therese L. Suprenant
Arbitrator(s): Brian James Tagtmeier
Hearing Site: Houston, TX
| | |
| 21-01898 | 03/17/2022 | Claimant(s): William Crull
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): A. G. Edwards & Sons., FSC Securities Corporation, UBS Financial Services Inc.
Respondent Lawyers(s): Andrew R. Park, Gregory Curley, John Murphy
Arbitrator(s): Brian James Tagtmeier
Hearing Site: New Orleans, LA
| | |
| 21-02115 | 01/12/2022 | Claimant(s): John L. Hillhouse
Claimant Lawyers(s): John L. Hillhouse
Respondent(s): Antwan Cork, Ameriprise Financial Services, Victor Israel
Respondent Lawyers(s): Sydney H. Crowder
Arbitrator(s): Brian James Tagtmeier
Hearing Site: Houston, TX
| | $0 |
| 21-00988 | 01/07/2022 | Claimant(s): Bettie Sam, Sidney Sam
Claimant Lawyers(s): Bettie Jean Sam
Respondent(s): Angela Leister, Elias Davis, Erin Minerd, J.P. Morgan Securities, Matthew Simpson, Robert Weiss, Wayne White
Respondent Lawyers(s): Ali I. Haque, Michael A. Gross
Arbitrator(s): Brian James Tagtmeier
Hearing Site: Houston, TX
| | $300 |
| 20-01175 | 12/16/2021 | Claimant(s): John Palombo
Claimant Lawyers(s): Michelle Atlas
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Rima F. Hartman
Arbitrator(s): G. Maynard Green, Daniel J. Pagnano, Brian James Tagtmeier
Hearing Site: Houston, TX
| | |
| 20-02851 | 07/30/2021 | Claimant(s): Maria Waters, Marlon Waters
Claimant Lawyers(s): Maria R. Waters, Marlon K. Waters
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Noah D. Sorkin
Arbitrator(s): Brian James Tagtmeier, Richard Wayne Rigdon, Kendra Johnson
Hearing Site: Dallas, TX
| | $0 |
| 19-03726 | 07/16/2021 | Claimant(s): Cynthia Lambert
Claimant Lawyers(s): Cynthia Lambert
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Melissa J. Gworek
Arbitrator(s): Martin Samuel Altimore, Brian James Tagtmeier, Bartlett Michael Sheinberg
Hearing Site: Houston, TX
| | $0 |
| 20-03097 | 06/14/2021 | Claimant(s): Michael Calvin
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Joelle A. Simms
Arbitrator(s): Brian James Tagtmeier
Hearing Site: Houston, TX
| | |
| 19-01630 | 02/22/2021 | Claimant(s): Manuel Diaz
Claimant Lawyers(s): Luis E. Minana
Respondent(s): National Financial Services LLC
Respondent Lawyers(s): Carlos Bobonis-Gonzalez
Arbitrator(s): Gloria O. North, Howard B. Scherer, Brian James Tagtmeier
Hearing Site: San Juan, PR
| | Dismissed by Rule 12206(a) |
