| 21-00541 | 06/03/2021 | Claimant(s): Raymond, James & Associates.
Claimant Lawyers(s): Robert K. Jamieson
Respondent(s): Jennah Clark
Respondent Lawyers(s): Jennah Real Clark
Arbitrator(s): Michael S. Yauch
Hearing Site: Oklahoma City, OK
| | |
| 20-02589 | 03/19/2021 | Claimant(s): Ritchy Scoggin
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Nuviah Shirazi
Arbitrator(s): Michael S. Yauch
Hearing Site: Houston, TX
| | |
| 19-02368 | 03/05/2021 | Claimant(s): Daniel Dillard
Claimant Lawyers(s): Bogdan Rentea
Respondent(s): Sagepoint Financial.
Respondent Lawyers(s): Will S. Montgomery
Arbitrator(s): Carlton A. Butler, Michael S. Yauch, Mark Ritchie
Hearing Site: Houston, TX
| | |
| 17-02117 | 06/04/2019 | Claimant(s): Estate of Emil William Holiner
Claimant Lawyers(s): Jessica S. Taylor
Respondent(s): Eric McIntyre, Gary Hartman
Respondent Lawyers(s): Ellen Sessions
Arbitrator(s): Kathy R. Holler, Jeffrey R. Jury, Michael S. Yauch
Hearing Site: Houston, TX
|  | Expungement |
| 18-00629 | 12/24/2018 | Claimant(s): John Shull
Claimant Lawyers(s): John C. Shull
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): Michael S. Yauch
Hearing Site: Houston, TX
| | $0 |
| 17-02579 | 09/05/2018 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Michael R. Greco
Respondent(s): Christopher Bingham
Respondent Lawyers(s): Jeremy Sloan
Arbitrator(s): Michael S. Yauch
Hearing Site: Houston, TX
| | |
| 17-01933 | 08/31/2018 | Claimant(s): Applied Medical Research Inc.
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): USAA Financial Advisors.
Respondent Lawyers(s): Theodre C. Schultz
Arbitrator(s): Michael S. Yauch
Hearing Site: Houston, TX
| | $0 |
| 16-00647 | 05/25/2018 | Claimant(s): John Barry Glenn, Nancy P. Glenn
Claimant Lawyers(s): Jason T. Albin
Respondent(s): Morgan Stanley, RBC Capital Markets LLC, Robert Dennison
Respondent Lawyers(s): John P. Kincade, Kimberly J. Gustafson
Arbitrator(s): Richard F. Dole, Malcolm Edwin Whittaker, Michael S. Yauch
Hearing Site: Houston, TX
| | Expungement |
| 16-01205 | 02/08/2018 | Claimant(s): Morris Steller
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): Peter Voldness, Thomas Heinzen, Emergent Financial Group.
Respondent Lawyers(s): Randy J. Sparling
Arbitrator(s): Michael S. Yauch, Brian James Tagtmeier, Camille Morris Tankersley
Hearing Site: Houston, TX
| | $0 |
| 16-02491 | 05/04/2017 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Jonathan D. Berg
Respondent(s): Monica Garcia
Respondent Lawyers(s): Everardo B. Garcia
Arbitrator(s): Michael S. Yauch
Hearing Site: Houston, TX
| | $0 |
