| 21-01025 | 08/09/2021 | Claimant(s): James Garner
Claimant Lawyers(s): Bryan Ward
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): Robert M. Rudnicki
Arbitrator(s): Paul M. Foster, Maryanne M. Esser, Allan R. Lazor
Hearing Site: Little Rock, AR
| | |
| 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 |
| 17-00904 | 11/13/2019 | Claimant(s): Juan Angel Rodriguez, Myriam Gonzalez
Claimant Lawyers(s): Lawrence Bradley Hancock
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jack D. Ballard
Arbitrator(s): Maryanne M. Esser, Malcolm Edwin Whittaker, Allan R. Lazor
Hearing Site: Houston, TX
| | $1,554,840 |
| 18-00112 | 04/24/2019 | Claimant(s): Jeffrey Cox, Samuel Garrido
Claimant Lawyers(s): Lars Soreide
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Nicholas N. George
Arbitrator(s): Christine L. Stetson, Maryanne M. Esser, Shannon Lyn Mays
Hearing Site: Houston, TX
| | Expungement |
| 18-00778 | 01/08/2019 | Claimant(s): Donald Simpson
Claimant Lawyers(s): Nicholas H. Berg
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Andrew R. Harvin
Arbitrator(s): Simeon B. Reimonenq, Maryanne M. Esser, Imre Stephen Szalai
Hearing Site: New Orleans, LA
| | $250,495 |
| 17-01985 | 12/21/2018 | Claimant(s): Sally Reagan
Claimant Lawyers(s): Nelson S. Ebaugh
Respondent(s): Morgan Stanley, Ganesh Iyer
Respondent Lawyers(s): Crystal Robles, Nicholas N. George
Arbitrator(s): Daniel J. Pagnano, Christine L. Stetson, Maryanne M. Esser
Hearing Site: Houston, TX
| | $54,954 |
| 16-03199 | 02/09/2018 | Claimant(s): William J. Mosley IRA, William J. Mosley & Karen Mosley JT/WROS
Claimant Lawyers(s): Christopher E. Geotes
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): Gianluca Morello
Arbitrator(s): Thomas A. Martin, Maryanne M. Esser, Cara Elizabeth Carlson
Hearing Site: Houston, TX
| | $254,250 |
| 17-02114 | 01/10/2018 | Claimant(s): Morgan Stanley, MSSB FA Notes Holdings
Claimant Lawyers(s): Robert L. Herskovits
Respondent(s): James Mackey
Respondent Lawyers(s): James Lee Mackey
Arbitrator(s): Maryanne M. Esser
Hearing Site: Little Rock, AR
| | |
| 17-02195 | 11/17/2017 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Jeffrey M. Csercsevits
Respondent(s): Michael Grisaffi
Respondent Lawyers(s): Michael Anthony Grisaffi
Arbitrator(s): Maryanne M. Esser
Hearing Site: Houston, TX
| | |
| 16-02079 | 06/13/2017 | Claimant(s): William Leven
Claimant Lawyers(s): Scott E. Rahn
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Katie M. Kimbrell
Arbitrator(s): Maryanne M. Esser
Hearing Site: Houston, TX
| | |
