| 18-02122 | 09/21/2018 | Claimant(s): Morgan Stanley, Morgan Stanley FA Notes Holdings LLC
Claimant Lawyers(s): Joseph A. Cialone
Respondent(s): Phillip Schreiner
Respondent Lawyers(s): Phillip Albert Schreiner
Arbitrator(s): Lynne M. Gomez
Hearing Site: Houston, TX
| | |
| 17-00296 | 09/19/2017 | Claimant(s): Waddell Jeffries
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Anthony Fusco, Frank Fusco, Salvatore Caruso
Respondent Lawyers(s): Lawrence Gelber
Arbitrator(s): Lynne M. Gomez
Hearing Site: Houston, TX
|  | $0 |
| 14-03234 | 06/17/2016 | Claimant(s): Ivette Gonzalez, Reinaldo Gonzalez
Claimant Lawyers(s): Edward H. Glenn, Marie Elsie Lopez Adames
Respondent(s): Santander Securities
Respondent Lawyers(s): Jason R. Aguilo Suro
Arbitrator(s): Lynne M. Gomez, Susan G. Pinkston, Brandon Scott Peters
Hearing Site: San Juan, PR
| | Expungement |
| 13-01603 | 10/28/2014 | Claimant(s): Annabelle Relf, Jeffrey Relf
Claimant Lawyers(s): Edward H. Glenn
Respondent(s): David Rogers, Dwight Badger, Keith Beck, Keith Daubenspeck, Matthew Gartner, Advanced Equities.
Respondent Lawyers(s): Amal S. Amin, Howard R. Elisofon, Keith Eric Beck
Arbitrator(s): Jeff Kilgore, Lynne M. Gomez, John Chelsea Allman
Hearing Site: Houston, TX
| | Expungement |
| 12-02780 | 05/15/2014 | Claimant(s): Eddie King
Claimant Lawyers(s): Jill L. Craft
Respondent(s): Deborah Pfister, Louis Duhe, Michel Singler, Allstate Financial Services, Allstate Insurance Company
Respondent Lawyers(s): Peter J. Valeta
Arbitrator(s): Lynne M. Gomez, Robert A. Wojcik, Brian P. Jakes
Hearing Site: New Orleans, LA
| | |
| 12-03398 | 04/05/2013 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): Dylan Grayson
Respondent Lawyers(s): Dylan Patrick Grayson
Arbitrator(s): Lynne M. Gomez
Hearing Site: Houston, TX
| | |
| 10-04965 | 10/04/2012 | Claimant(s): Brian O'Grady, The O'Grady Family Partnership, Ltd.
Claimant Lawyers(s): Sheldon E. Richie
Respondent(s): Brett Schulick, David Miller, River Oaks Capital Management.
Respondent Lawyers(s): Andrew Leibowitz
Arbitrator(s): Philip I. McConnell, Lynne M. Gomez, William R. Jonson
Hearing Site: Houston, TX
| | $3,988,180 |
| 11-02350 | 01/10/2012 | Claimant(s): SWBC Investment Services
Claimant Lawyers(s): Retta A. Miller
Respondent(s): Greg Thompson, Titleist Asset Management, Ltd.
Respondent Lawyers(s): Royal B. Lea
Arbitrator(s): Linda Broocks, Arno C. Schwethelm, Lynne M. Gomez
Hearing Site: Houston, TX
| | |
| 11-02114 | 10/03/2011 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Nick Kerrigan
Respondent Lawyers(s): Nick John Kerrigan
Arbitrator(s): Lynne M. Gomez
Hearing Site: Houston, TX
| | |
| 11-01093 | 09/13/2011 | Claimant(s): Sheryl Mead
Claimant Lawyers(s): Herbert E. Pounds
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): Kelli Bullington
Arbitrator(s): Lynne M. Gomez
Hearing Site: Houston, TX
| | $0 |
