| 17-02604 | 03/25/2019 | Claimant(s): Kathy Engberg
Claimant Lawyers(s): Kathy Engberg
Respondent(s): Wells Fargo Advisors, Richard Dunagan
Respondent Lawyers(s): T.R. Bynum
Arbitrator(s): Frank M. Romano, Thomas A. Martin, Eric R. Benton
Hearing Site: Houston, TX
|  | $0 |
| 16-01180 | 01/02/2018 | Claimant(s): Stephen Western
Claimant Lawyers(s): Stephany D. McLaughlin
Respondent(s): Donald Beary, Jon Stanfield, Susan Vargason
Respondent Lawyers(s): Benjamin J. Biard
Arbitrator(s): David D. McNally, Eric R. Benton, Francis Joseph Bourgeois
Hearing Site: Houston, TX
| | Dismissed by Rule 12206 |
| 17-00116 | 12/14/2017 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Jack D. Ballard
Respondent(s): Justin Ward
Respondent Lawyers(s): Justin Garrett Ward
Arbitrator(s): Eric R. Benton
Hearing Site: Houston, TX
| | |
| 12-03842 | 02/23/2015 | Claimant(s): Estate of John O'Quinn
Claimant Lawyers(s): Cynthia R Levin Moulton
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Linda Broocks
Arbitrator(s): James E. Schlottmann, Robert L. Moran, Eric R. Benton
Hearing Site: Houston, TX
| | Expungement |
| 10-04568 | 10/22/2012 | Claimant(s): Clay Border
Claimant Lawyers(s): John T. McDowell
Respondent(s): Pritchard Capital Partners
Respondent Lawyers(s): Todd Giustiniano
Arbitrator(s): David G. Beerbower, Eric R. Benton, Irving Sylvester Moses
Hearing Site: Houston, TX
| | |
| 10-01606 | 05/24/2011 | Claimant(s): Robert Ragsdale, Robert M. Ragsdale IRA
Claimant Lawyers(s): Reagan D. Pratt
Respondent(s): Morgan Stanley, Morgan Stanley & Co.
Respondent Lawyers(s): James J. Fontanilla
Arbitrator(s): Sherry R. Wetsch, Charles A. Bankston, Eric R. Benton
Hearing Site: Houston, TX
| | $127,000 |
| 07-03093 | 11/17/2008 | Claimant(s): Charles Satterfield
Claimant Lawyers(s): Charles M. Satterfield
Respondent(s): Bernerd Young, Daniel Bogar, Pamela Beckstrom, Stanford Group Company
Respondent Lawyers(s): Stephen H. Lee
Arbitrator(s): James R. Augustine, Donald K. Eckhardt, Eric R. Benton
Hearing Site: Houston, TX
| | |
| 05-05747 | 10/23/2008 | Claimant(s): Goodwill Holdings LDC
Claimant Lawyers(s): Thomas R. Ajamie
Respondent(s): Goldman, Sachs and Company
Respondent Lawyers(s): John T. Gerhart
Arbitrator(s): Bernard D. Hammer, Kurt D. Steiner, Eric R. Benton
Hearing Site: Houston, TX
| | $0 |
