| 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 |
| 15-03228 | 04/24/2018 | Claimant(s): Interactive Brokers LLC
Claimant Lawyers(s): David Luger
Respondent(s): Huzaifa Husain
Respondent Lawyers(s): Huzaifa Husain
Arbitrator(s): Malcolm Edwin Whittaker, Mary Esther Escobedo, Julie Marie Miller
Hearing Site: Houston, TX
| | $0 |
| 14-00743 | 07/15/2015 | Claimant(s): Scott Zodin
Claimant Lawyers(s): Geoffrey D. Weisbart
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Tracy L. Gerber
Arbitrator(s): Malcolm Edwin Whittaker, Gary L. Foose, Phillip M. Renfro
Hearing Site: Houston, TX
| | |
| 09-06970 | 05/14/2015 | Claimant(s): Joseph Collins
Claimant Lawyers(s): Joseph Collins
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Edward A. Walton
Arbitrator(s): Gregory E. Cater, Malcolm Edwin Whittaker, Susan Meek
Hearing Site: Houston, TX
| | |
| 13-01876 | 04/28/2015 | Claimant(s): Brian Parker, Jessica Valentine, Parker Family Trust
Claimant Lawyers(s): Joseph R. Marrs
Respondent(s): Interactive Brokers LLC
Respondent Lawyers(s): John J. Nielands
Arbitrator(s): Malcolm Edwin Whittaker, Michael Edward Denosky, Daniel Stephen Dexter
Hearing Site: Houston, TX
| | $1,209,600 |
| 13-01827 | 01/27/2015 | Claimant(s): Deborah Medellin, Hector Medellin
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Samuel Nelson-Archer
Respondent Lawyers(s): Robert L. Horn
Arbitrator(s): Malcolm Edwin Whittaker, Clark Willis Richards, Michael Louis Goldstone
Hearing Site: Houston, TX
| | $17,486 |
| 13-01087 | 12/12/2014 | Claimant(s): Patricia McNamara, The Estate of Francis Leo McNamara
Claimant Lawyers(s): Michael Klein
Respondent(s): Ameriprise Financial Services., Justin Montandon
Respondent Lawyers(s): Edward Walton
Arbitrator(s): R. Lee Britton Jr., Jeff Kilgore, Malcolm Edwin Whittaker
Hearing Site: Houston, TX
| | $127,740 |
| 12-02904 | 06/16/2014 | Claimant(s): Barbara Minahan, JLM Partnership
Claimant Lawyers(s): Augustine Rivera
Respondent(s): Charles Wilde, UBS Financial Services Inc.
Respondent Lawyers(s): Alise Johnson Henry
Arbitrator(s): Thomas D. Nagle, Malcolm Edwin Whittaker, Cory Steven Fein
Hearing Site: Houston, TX
| | Expungement |
| 12-04089 | 06/06/2014 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Ernest W. Irons
Respondent(s): Royce Simpson
Respondent Lawyers(s): J. Randle Henderson
Arbitrator(s): Selenne Calhamer, Malcolm Edwin Whittaker, Susan Meek
Hearing Site: Houston, TX
| | |
| 09-05596 | 01/17/2013 | Claimant(s): Lloyd Gillespie
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Oppenheimer & Co.., Joshua Barg, Aegis Capital Corp.
Respondent Lawyers(s): Andrew R. Harvin, Michael H. Ference, Ted Poretz
Arbitrator(s): Donald K. Eckhardt, James M. Alexander, Malcolm Edwin Whittaker
Hearing Site: Houston, TX
| | $1,074,600 |
