| 19-01354 | 12/05/2019 | Claimant(s): Craig Wakefield
Claimant Lawyers(s): Molly M. White
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Dominick F. Evangelista
Arbitrator(s): Kathy R. Holler, Lynne M. Gomez, Mary Esther Escobedo
Hearing Site: Houston, TX
| | |
| 19-00885 | 10/24/2019 | Claimant(s): Edward Hildebrand
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Stephens
Respondent Lawyers(s): Jana Kim Fowler
Arbitrator(s): Lynne M. Gomez
Hearing Site: Little Rock, AR
| | |
| 18-03141 | 09/11/2019 | Claimant(s): Betty Bailey, Betty Bailey IRA
Claimant Lawyers(s): David W. Miller
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Paul D. Flack
Arbitrator(s): Lynne M. Gomez, Camille Morris Tankersley, Heather Gaile Layton
Hearing Site: Houston, TX
|  | $555,000 |
| 18-04373 | 09/05/2019 | Claimant(s): Amanda Hinton
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): W. Preston Martin
Arbitrator(s): Lynne M. Gomez
Hearing Site: New Orleans, LA
| | |
| 18-04385 | 07/29/2019 | Claimant(s): Steven Orr
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): H. Beck.
Respondent Lawyers(s): David J. Lehr
Arbitrator(s): Lynne M. Gomez
Hearing Site: Houston, TX
| | |
| 18-04333 | 07/22/2019 | Claimant(s): Harvey Hardee
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): James K. Langdon
Arbitrator(s): Lynne M. Gomez
Hearing Site: Houston, TX
| | |
| 18-03665 | 05/20/2019 | Claimant(s): Lance Roberts
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Wunderlich Securities.
Respondent Lawyers(s): James T. Ritt
Arbitrator(s): Lynne M. Gomez
Hearing Site: Houston, TX
| | |
| 18-02819 | 04/08/2019 | Claimant(s): Eric Dupre
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc., Raymond, James & Associates.
Respondent Lawyers(s): Joelle Simms, Stanton Fears
Arbitrator(s): Lynne M. Gomez
Hearing Site: Houston, TX
| | |
| 18-01682 | 11/12/2018 | Claimant(s): Christopher Quebedeau
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): FSC Securities Corporation, National Planning Corporation
Respondent Lawyers(s): Bradley A. Fishman, Scott R. Forbush
Arbitrator(s): Lynne M. Gomez
Hearing Site: New Orleans, LA
| | |
| 18-00520 | 09/27/2018 | Claimant(s): Iain Sharpe
Claimant Lawyers(s): Matthew B. Henneman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah Yates
Arbitrator(s): Lynne M. Gomez
Hearing Site: Houston, TX
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