21-01551 | 01/18/2022 | Claimant(s): Dwayne Tidwell Claimant Lawyers(s): Tosh D. Grebenik Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Stanford Group Company Respondent Lawyers(s): Ralph S. Janvey, Receiver, W. Preston Martin Arbitrator(s): Lynne M. Gomez, Maurice J. Fallas, William James Smith Hearing Site: Houston, TX
| | |
14-02820 | 07/18/2017 | Claimant(s): Landon Marino, Shawn Walker, Travis Knapp, William Coffey Claimant Lawyers(s): Samuel B. Edwards Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Kathryn D. Perreault Arbitrator(s): Maurice J. Fallas, Allan R. Lazor, Shannon Lyn Mays Hearing Site: Houston, TX
| | |
14-01426 | 04/14/2015 | Claimant(s): Scott Coombes Claimant Lawyers(s): Scott Browning Coombes Respondent(s): Carol Reinking, Valic Financial Advisors. Respondent Lawyers(s): Carol Reinking, Kortney S. Farmer Arbitrator(s): Oren L. Connaway, Maurice J. Fallas, Daniel Stephen Dexter Hearing Site: Houston, TX
| | Expungement |
13-02821 | 01/26/2015 | Claimant(s): Dorothy Robertson Claimant Lawyers(s): Samuel B. Edwards Respondent(s): Wells Fargo Advisors Respondent Lawyers(s): Vanessa M Hoffman Arbitrator(s): Philip I. McConnell, Maurice J. Fallas, Daniel Stephen Dexter Hearing Site: Houston, TX
| | Expungement |
09-04663 | 06/21/2011 | Claimant(s): Robert Bagby Claimant Lawyers(s): Robert L. Bagby Respondent(s): Citigroup Global Markets. Respondent Lawyers(s): Thomas D. Cordell Arbitrator(s): Eli Bensky, Charles A. Bankston, Maurice J. Fallas Hearing Site: Houston, TX
| | |
09-06655 | 03/09/2011 | Claimant(s): Adela Collado, Charles Colvin, Daniel Sears, Dawn Schuessler, Don Jones, Elizabeth Stein, Jimmy Burke, Jose Collado, Judy Strickland, Kenneth Sears, Nancy Gordon, Peggy Burke, Reine Sears, Richard Arispe, Shana Stein, Susan Hackney, Suzann Jones, Todd Burke, William Rhodes, C & C Erection Inc. Claimant Lawyers(s): Paul J. Dobrowski Respondent(s): Morgan Keegan & Company. Respondent Lawyers(s): Stephen C. Carlin Arbitrator(s): Thomas A. Martin, Raymond C. Kerr, Maurice J. Fallas Hearing Site: Houston, TX
| | $0 |
10-00727 | 03/08/2011 | Claimant(s): Morgan Keegan & Company. Claimant Lawyers(s): Shea O'Brien Hicks Respondent(s): John Stearns Respondent Lawyers(s): Donald M. Feferman Arbitrator(s): David G. Beerbower, Jeff Kilgore, Maurice J. Fallas Hearing Site: Houston, TX
| | |
10-00987 | 12/20/2010 | Claimant(s): Marianne Iamele Claimant Lawyers(s): Merritt N. Spencer Respondent(s): Charles Schwab & Co.. Respondent Lawyers(s): Sean B. Meehan Arbitrator(s): Richard F. Dole, Maurice J. Fallas, Danielle L. Hargrove Hearing Site: Houston, TX
| | $65,686 |
07-02621 | 02/06/2009 | Claimant(s): Optionshouse. Claimant Lawyers(s): Breck Harrison Respondent(s): Amir Jivani, Daniel Rosenthal, James Halm, Raza Jivani, Robert Baldwin, Tycho Clayton, Interactive Brokers LLC, Penson Financial Services. Respondent Lawyers(s): Breck Harrison, John J. Nielands, Jonathan D. Neerman, Richard J. Gerace Arbitrator(s): Michael Hendryx, William Edward Buck, Maurice J. Fallas Hearing Site: Houston, TX
| | $51,575 |
07-01778 | 07/28/2008 | Claimant(s): Citigroup Global Markets., Citigroup Global Markets Holdings. Claimant Lawyers(s): W. Jerad Rissler Respondent(s): Ernest Elam Respondent Lawyers(s): Ernest P. Elam Arbitrator(s): Timothy L. Andrews, Maurice J. Fallas, Gary L. Foose Hearing Site: Houston, TX
| | |