| 20-03501 | 01/21/2022 | Claimant(s): David E. Hillin IRA, David and Denise Hillin Trust
Claimant Lawyers(s): D. Daxton White
Respondent(s): Geneos Wealth Management
Respondent Lawyers(s): Victoria H. Buter
Arbitrator(s): Lynne M. Gomez, Paul E. Dahlman, Michael D. Briggs
Hearing Site: Oklahoma City, OK
|  | Expungement |
| 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
| | |
| 21-00449 | 11/12/2021 | Claimant(s): Jude Offiah
Claimant Lawyers(s): Zachary T. Hayes-Macaluso
Respondent(s): Woodbury Financial Services., Tandem Securities.
Respondent Lawyers(s): James V. Noblett, Kristopher Miller
Arbitrator(s): Lynne M. Gomez
Hearing Site: Oklahoma City, OK
| | |
| 21-00900 | 10/22/2021 | Claimant(s): Adam Lampe
Claimant Lawyers(s): Stephan Louviere
Respondent(s): Proequities.
Respondent Lawyers(s): Jennifer M. Moore
Arbitrator(s): Lynne M. Gomez
Hearing Site: Houston, TX
| | |
| 20-03151 | 09/14/2021 | Claimant(s): Matthew West
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): USCA RIA LLC, USCA Securities LLC
Respondent Lawyers(s): Therese L. Surprenant
Arbitrator(s): Lynne M. Gomez
Hearing Site: Houston, TX
| | |
| 21-00325 | 08/24/2021 | Claimant(s): Kelly Chimera
Claimant Lawyers(s): Steven J. Berry
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Jeff Palmer
Arbitrator(s): Lynne M. Gomez
Hearing Site: Houston, TX
| | |
| 21-00863 | 08/12/2021 | Claimant(s): Michael Rudelson
Claimant Lawyers(s): Cynthia R Moulton
Respondent(s): Kestra Investment Services
Respondent Lawyers(s): Shawn Shook
Arbitrator(s): Lynne M. Gomez
Hearing Site: Houston, TX
| | |
| 20-02926 | 05/06/2021 | Claimant(s): Joseph Quartucci
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): National Planning Corporation
Respondent Lawyers(s): Eric A. Michaels
Arbitrator(s): Lynne M. Gomez
Hearing Site: Houston, TX
| | |
| 20-03443 | 05/06/2021 | Claimant(s): Roger Engemoen
Claimant Lawyers(s): Jessica J. Mannon
Respondent(s): Samco Capital Markets.
Respondent Lawyers(s): Joel B. Bailey
Arbitrator(s): Lynne M. Gomez
Hearing Site: Houston, TX
| | |
| 20-00980 | 03/31/2021 | Claimant(s): Wendy Buchanan
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Edward Jones
Respondent Lawyers(s): Darren Goodman
Arbitrator(s): Lynne M. Gomez
Hearing Site: Houston, TX
| | |
