| 15-02289 | 04/11/2017 | Claimant(s): Roberto Ramon Midence Revocable Living
Claimant Lawyers(s): D. Daxton White
Respondent(s): Morgan Stanley, RBC Capital Markets LLC
Respondent Lawyers(s): John P. Kincade, Joseph C. Coates
Arbitrator(s): Maryanne M. Esser, Amy Lynn Mitchell, Shannon Lyn Mays
Hearing Site: Houston, TX
|  | Expungement |
| 14-02839 | 08/05/2016 | Claimant(s): Michael Taylor
Claimant Lawyers(s): Seth E. Lipner
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): Maryanne M. Esser, Montie G. Grimes, Thomas D. Cordell
Hearing Site: Houston, TX
| | |
| 15-02414 | 03/22/2016 | Claimant(s): Raymond James Financial Services.
Claimant Lawyers(s): Robert K. Jamieson
Respondent(s): Imtiaz Chowdhury
Respondent Lawyers(s): Lance C. Arney
Arbitrator(s): Maryanne M. Esser
Hearing Site: Houston, TX
| | |
| 13-02461 | 03/13/2015 | Claimant(s): JT & JT Enterprises.
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): Sunset Financial Services.
Respondent Lawyers(s): Martin S. Schexnayder
Arbitrator(s): Maryanne M. Esser, Michele N. O'Brien, Jason Kyle Beale
Hearing Site: Houston, TX
| | $0 |
| 14-01459 | 12/08/2014 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Michael Taaffe
Respondent(s): Horace Stubblefield
Respondent Lawyers(s): Horace (Gandy) Stubblefield
Arbitrator(s): Maryanne M. Esser
Hearing Site: Houston, TX
| | |
| 12-03896 | 08/22/2014 | Claimant(s): Alison McIntosh, Arthur McIntosh
Claimant Lawyers(s): J. Michael Ellis
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Deirdre Wolff
Arbitrator(s): Philip I. McConnell, Maryanne M. Esser, Dianne Connally Betts
Hearing Site: Dallas, TX
| | $0 |
| 12-00030 | 08/08/2013 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): Geremy Anderson
Respondent Lawyers(s): Geremy R. Anderson
Arbitrator(s): Maryanne M. Esser
Hearing Site: Dallas, TX
| | |
| 12-04293 | 07/01/2013 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Diane C. Fischer
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Maryanne M. Esser
Hearing Site: Dallas, TX
| | |
| 12-02187 | 05/23/2013 | Claimant(s): Joseph D'Amico
Claimant Lawyers(s): Emily M. Stout
Respondent(s): Cantor Fitzgerald & Co.
Respondent Lawyers(s): A. John Harper
Arbitrator(s): Mark L. Williams, Maryanne M. Esser, Richard A Miller
Hearing Site: Dallas, TX
| | |
| 11-02271 | 03/09/2012 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Gregg W. Marsano
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Maryanne M. Esser
Hearing Site: Dallas, TX
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