Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:
| Case Number | Award Date | Case Summary | Customer Case? | Amount Granted |
|---|---|---|---|---|
| 24-00092 | 07/29/2024 | Claimant(s): Amra Uzair, Mirza Beg Claimant Lawyers(s): Joshua Kons Respondent(s): CrowdStreet., Crowdstreet Capital LLC Respondent Lawyers(s): Gabrielle Gould Arbitrator(s): Lynne M. Gomez, Montie G. Grimes, David Aaron DeSoto Hearing Site: Houston, TX |  | Dismissed by Rule 12200 |
| 23-01334 | 06/14/2024 | Claimant(s): Brandon Bowman Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Cetera Advisors LLC Respondent Lawyers(s): David Feldstein Arbitrator(s): Lynne M. Gomez Hearing Site: Houston, TX | ||
| 22-01699 | 06/10/2024 | Claimant(s): The Estate of Margaret Mahaney-Smith Claimant Lawyers(s): Lars Soreide Respondent(s): LPL Financial LLC, Frederick Arbusto Respondent Lawyers(s): John W. Joyce Arbitrator(s): Jo-Marie Lisa, Lynne M. Gomez, Imre Stephen Szalai Hearing Site: New Orleans, LA | | Expungement |
| 23-02866 | 06/04/2024 | Claimant(s): Paul Nitz Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Avantax Investment Services. Respondent Lawyers(s): Judith Knudsen Arbitrator(s): Lynne M. Gomez Hearing Site: Houston, TX | ||
| 23-01414 | 04/10/2024 | Claimant(s): Frank Briseno, III Claimant Lawyers(s): Dochtor Kennedy Respondent(s): FSC Securities Corporation Respondent Lawyers(s): Jennifer R. Cox Arbitrator(s): Lynne M. Gomez Hearing Site: New Orleans, LA | ||
| 23-01206 | 03/19/2024 | Claimant(s): Robert Cadena Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Invest Financial Corporation Respondent Lawyers(s): Eric A. Michaels Arbitrator(s): Lynne M. Gomez Hearing Site: Houston, TX | ||
| 23-01238 | 03/06/2024 | Claimant(s): Christopher Wilbratte Claimant Lawyers(s): Dochtor Kennedy Respondent(s): GWN Securities Inc., Legend Equities Corporation Respondent Lawyers(s): Jessica E. Levine, Kathy M. Klock Arbitrator(s): Lynne M. Gomez Hearing Site: Houston, TX | ||
| 23-00790 | 01/24/2024 | Claimant(s): John Turner Claimant Lawyers(s): John Hitchings Respondent(s): Avantax Investment Services. Respondent Lawyers(s): Judith Knudsen Arbitrator(s): Lynne M. Gomez Hearing Site: Houston, TX | ||
| 23-01913 | 01/19/2024 | Claimant(s): Michael Dieschbourg Claimant Lawyers(s): James P. Galvin Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): John Murphy Arbitrator(s): Lynne M. Gomez Hearing Site: New Orleans, LA | ||
| 22-02024 | 10/24/2023 | Claimant(s): Scott Parker, Sharon Parker Claimant Lawyers(s): Jeffrey B. Kaplan Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Charlotte S. Wolfe Arbitrator(s): Sherry R. Wetsch, Lynne M. Gomez, Ashika S Brinkley Hearing Site: Houston, TX | | Expungement |