| 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
| | |
| 20-03151 | 09/14/2021 | Claimant(s): Matthew West
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): USCA RIA LLC, USCA Securities LLC
Respondent Lawyers(s): Therese L. Surprenant
Arbitrator(s): Lynne M. Gomez
Hearing Site: Houston, TX
| | |
| 16-03581 | 06/01/2017 | Claimant(s): USCA Securities LLC
Claimant Lawyers(s): Therese L. Surprenant
Respondent(s): Aaron Geller
Respondent Lawyers(s): Aaron Craig Geller
Arbitrator(s): James A. Parker
Hearing Site: Houston, TX
| | |
| 13-02229 | 11/18/2014 | Claimant(s): Ed Herringshaw, Mark Rowe, Mary Rowe, Oscar Jones, Roger Matz, Warren Cherry, Estate of Allen Bakker, John Wakefield, Lee Levine, Mark Bentley, Mary Kochenderfer, Melissa Overbay, Paul Wright, Pete Altimore, Robert Evans, Roger Michael, Ron Appelt, W. Bruce Overbay, Wayne Kochenderfer
Claimant Lawyers(s): Wesley Lotz
Respondent(s): U.S. Capital Advisors LLC, USCA RIA LLC, USCA Securities LLC
Respondent Lawyers(s): Suzanne Hickey, CCO
Arbitrator(s): Charles E. Munson, William A. Allen, David C. Redford
Hearing Site: Houston, TX
|  | Settlement |
