| 20-00900 | 12/14/2020 | Claimant(s): James Neuenschwander
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): IFG Network Securities.
Respondent Lawyers(s): David Feldstein
Arbitrator(s): Thomas A. Martin
Hearing Site: Houston, TX
| | |
| 19-03802 | 06/26/2020 | Claimant(s): Nicholas Erwin
Claimant Lawyers(s): Therese L. Surprenant
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Paul D. Flack
Arbitrator(s): Thomas A. Martin
Hearing Site: Houston, TX
| | |
| 19-00144 | 11/25/2019 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Jonathan D. Berg
Respondent(s): Terence Daniels
Respondent Lawyers(s): Terence Daniels
Arbitrator(s): Thomas A. Martin
Hearing Site: Houston, TX
|  | $86,081 |
| 17-02679 | 06/10/2019 | Claimant(s): Michael Digaetano
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): J.P. Turner & Company, L.L.C.
Respondent Lawyers(s): Jeremy Carr
Arbitrator(s): Thomas A. Martin
Hearing Site: Houston, TX
| | |
| 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 |
| 18-00123 | 09/28/2018 | Claimant(s): Gregory Hester
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Ameriprise Financial Services
Respondent Lawyers(s): Howard Klausmeier
Arbitrator(s): Thomas A. Martin
Hearing Site: Oklahoma City, OK
| | |
| 16-03199 | 02/09/2018 | Claimant(s): William J. Mosley IRA, William J. Mosley & Karen Mosley JT/WROS
Claimant Lawyers(s): Christopher E. Geotes
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): Gianluca Morello
Arbitrator(s): Thomas A. Martin, Maryanne M. Esser, Cara Elizabeth Carlson
Hearing Site: Houston, TX
| | $254,250 |
| 17-02639 | 01/22/2018 | Claimant(s): Kestra Investment Services
Claimant Lawyers(s): Gary S. Kessler
Respondent(s): Chuck Hilliard
Respondent Lawyers(s): Chuck J. Hilliard
Arbitrator(s): Thomas A. Martin
Hearing Site: Houston, TX
| | |
| 15-03034 | 01/09/2018 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Jeffrey M. Csercsevits
Respondent(s): Michael Hopper
Respondent Lawyers(s): Michael Hopper
Arbitrator(s): Thomas A. Martin, Bertrand C. Moser, Stephen T. Johnson
Hearing Site: Houston, TX
| | |
| 16-01858 | 07/21/2017 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Janelle E. Fulton
Respondent(s): Gilbert Rodriguez
Respondent Lawyers(s): Gilbert Anthony Rodriguez
Arbitrator(s): Thomas A. Martin
Hearing Site: Houston, TX
| | |
