| 23-01849 | 04/18/2024 | Claimant(s): Brian Hagen
Claimant Lawyers(s): James P. Galvin
Respondent(s): Concourse Financial Group Securities
Respondent Lawyers(s): Kathryn Roe Eldridge
Arbitrator(s): Michael S. Yauch
Hearing Site: Houston, TX
| | |
| 22-01854 | 02/27/2024 | Claimant(s): Crews & Associates.
Claimant Lawyers(s): Daniel H. Wirth
Respondent(s): Billy Carty, Rush Harding, Carty & Company.
Respondent Lawyers(s): Chris Lazarini, Peter Shults
Arbitrator(s): Judith A. Payuk, Michael S. Yauch, Joseph Neal Richardson
Hearing Site: Little Rock, AR
| | |
| 23-00513 | 01/24/2024 | Claimant(s): Crystal Garrett
Claimant Lawyers(s): Jonathan M. Sterling
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Michael S. Yauch
Hearing Site: Houston, TX
| | |
| 23-01814 | 10/27/2023 | Claimant(s): Hooman Jarollahi, Monireh Moayedi Pour Fard
Claimant Lawyers(s): Hooman Jarollahi
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Noah D. Sorkin
Arbitrator(s): Michael S. Yauch
Hearing Site: Houston, TX
|  | $425 |
| 21-01682 | 07/06/2022 | Claimant(s): Blair Zimmerman, Blair Zimmerman OBO of his IRA
Claimant Lawyers(s): Blair Zimmerman
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Matthew T. Bohenek
Arbitrator(s): Michael S. Yauch
Hearing Site: Houston, TX
| | Expungement |
| 16-03296 | 02/11/2022 | Claimant(s): Daryl Allen, Frank Hogan, Langston Turner
Claimant Lawyers(s): Rogge Dunn
Respondent(s): Credit Suisse Securities (USA) LLC
Respondent Lawyers(s): Stephen M. Kramarsky
Arbitrator(s): David C. Redford, Michael S. Yauch, Lewis Kenneth Harley
Hearing Site: Houston, TX
| | |
| 21-00544 | 12/13/2021 | Claimant(s): Ranjit LoboPrabhu
Claimant Lawyers(s): Ranjit LoboPrabhu
Respondent(s): Charles Schwab & Co.., TD Ameritrade.
Respondent Lawyers(s): Garrett R. Wynne
Arbitrator(s): Jacqueline R. Fox, Michael S. Yauch, Katherine Parsley
Hearing Site: Houston, TX
| | $0 |
| 20-04040 | 10/29/2021 | Claimant(s): Dorothy Head, Hamza Hussain, Jacob Meredith, Joel Yambo-Torres, Kapil Bajaj, Kevin Jahed, Michelle Mullikin, Peter Barker, Robert Head, Serhiy Musyakevych, Vasudeva Manepalli
Claimant Lawyers(s): Jeff M. Meyerson
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): Michael S. Yauch, Francis Joseph Bourgeois, Dwayne Nealy McClelland
Hearing Site: Houston, TX
| | $0 |
| 21-01544 | 09/14/2021 | Claimant(s): LPL Financial LLC
Claimant Lawyers(s): John W. Joyce
Respondent(s): Cesar Olivares
Respondent Lawyers(s): Cesar Emilio Olivares
Arbitrator(s): Michael S. Yauch
Hearing Site: Houston, TX
| | |
| 19-00961 | 07/12/2021 | Claimant(s): Carolyn Long
Claimant Lawyers(s): Jason R. Doss
Respondent(s): Peter Schiff, A.G.P. / Alliance Global Partners
Respondent Lawyers(s): David A. Gehn
Arbitrator(s): Michael S. Yauch, Wayne Irwin Fagan, Esther Treneer
Hearing Site: Houston, TX
| | Expungement |
