| 20-02843 | 06/30/2022 | Claimant(s): Johnny Walker
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Network 1 Financial Securities Inc.
Respondent Lawyers(s): Timothy Feil
Arbitrator(s): Alan M. Holzberg, Shannon Lyn Mays, Denise Ereka Peterson
Hearing Site: Houston, TX
|  | $1,232,770 |
| 19-00021 | 05/14/2020 | Claimant(s): Earnest Frederick, Timothy Moeller
Claimant Lawyers(s): Samuel B. Edwards
Respondent(s): LPL Financial LLC, First National Bank of Shiner
Respondent Lawyers(s): Jack D. Ballard
Arbitrator(s): Mary Esther Escobedo, Montie G. Grimes, Shannon Lyn Mays
Hearing Site: Houston, TX
| | $0 |
| 18-00647 | 12/20/2019 | Claimant(s): Lydia Chopin
Claimant Lawyers(s): Eric G Behrens
Respondent(s): Morgan Stanley, Kathleen Perry
Respondent Lawyers(s): Andrew R. Harvin
Arbitrator(s): Sherry R. Wetsch, Shannon Lyn Mays, Cara Elizabeth Carlson
Hearing Site: Houston, TX
| | $0 |
| 17-00829 | 10/15/2019 | Claimant(s): Joseph Camp, Robin Camp, The Pauline M. Camp Family Trust
Claimant Lawyers(s): James P. Booker
Respondent(s): IMS Securities.
Respondent Lawyers(s): Jackie Wadsworth
Arbitrator(s): Sherry R. Wetsch, Shannon Lyn Mays, Jewel Elizabeth Smith
Hearing Site: Houston, TX
| | $410,000 |
| 18-00112 | 04/24/2019 | Claimant(s): Jeffrey Cox, Samuel Garrido
Claimant Lawyers(s): Lars Soreide
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Nicholas N. George
Arbitrator(s): Christine L. Stetson, Maryanne M. Esser, Shannon Lyn Mays
Hearing Site: Houston, TX
| | Expungement |
| 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
| | |
| 15-02289 | 04/11/2017 | Claimant(s): Roberto Ramon Midence Revocable Living
Claimant Lawyers(s): D. Daxton White
Respondent(s): Morgan Stanley, RBC Capital Markets LLC
Respondent Lawyers(s): John P. Kincade, Joseph C. Coates
Arbitrator(s): Maryanne M. Esser, Amy Lynn Mitchell, Shannon Lyn Mays
Hearing Site: Houston, TX
| | Expungement |
