| 18-04203 | 06/04/2020 | Claimant(s): Rick McKinney, RDRJ
Claimant Lawyers(s): Joseph H. Bocock
Respondent(s): National Securities Corporation, Stuart Updegrove
Respondent Lawyers(s): Fred Knopf
Arbitrator(s): James A. Parker, Stephen James Cavanaugh, G. Dennis Sheehan
Hearing Site: Houston, TX
|  | $0 |
| 18-01476 | 01/03/2020 | Claimant(s): Willie Mae Kalisek
Claimant Lawyers(s): Jason E. Williams
Respondent(s): Edward Jones, Ruben Hope
Respondent Lawyers(s): Donald R. Littlefield
Arbitrator(s): James A. Parker, Malcolm Edwin Whittaker, Jeffrey R. Jury
Hearing Site: Houston, TX
| | $0 |
| 18-03683 | 11/13/2019 | Claimant(s): Estate of Ava Nell Harris
Claimant Lawyers(s): Steven P. Harrelson
Respondent(s): Edward Jones, Joshua Tice
Respondent Lawyers(s): Jay Bequette
Arbitrator(s): James A. Parker
Hearing Site: Little Rock, AR
| | $0 |
| 19-01643 | 10/30/2019 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Retta A. Miller
Respondent(s): Virgil Richmond
Respondent Lawyers(s): Virgil D. Richmond
Arbitrator(s): James A. Parker
Hearing Site: Houston, TX
| | |
| 19-00094 | 08/19/2019 | Claimant(s): Tina Matthews
Claimant Lawyers(s): Tosh Grebenik
Respondent(s): Sagepoint Financial.
Respondent Lawyers(s): James Noblett
Arbitrator(s): James A. Parker
Hearing Site: Houston, TX
| | |
| 18-01518 | 01/16/2019 | Claimant(s): John Mercaldi
Claimant Lawyers(s): John Mercaldi
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): James A. Parker
Hearing Site: Houston, TX
| | $0 |
| 17-02725 | 04/12/2018 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Jack D. Ballard
Respondent(s): Quan Luu
Respondent Lawyers(s): Quan The Luu
Arbitrator(s): James A. Parker
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
| | |
| 14-03167 | 04/01/2016 | Claimant(s): Aundre Franklin, Assurance Developers & Construction Inc.
Claimant Lawyers(s): Aundre Franklin
Respondent(s): Edward Jones
Respondent Lawyers(s): Paul Yarns
Arbitrator(s): James A. Parker, Franklin R. Morgan, Clark Willis Richards
Hearing Site: Houston, TX
| | $2,600 |
| 14-03770 | 03/30/2016 | Claimant(s): UBS Financial Services Inc., UBS Credit Corp.
Claimant Lawyers(s): Megan A. Smith
Respondent(s): David Lavine
Respondent Lawyers(s): Andrew R. Harvin
Arbitrator(s): James A. Parker, Ann Bradford Ligums, G. Dennis Sheehan
Hearing Site: Houston, TX
| | |
