| 14-02240 | 08/24/2015 | Claimant(s): Jeanne Hebert
Claimant Lawyers(s): Jeanne H. Hebert
Respondent(s): Wells Fargo Advisors, Lindsey Barlow
Respondent Lawyers(s): Alan S. Rafterman
Arbitrator(s): Steve R. Neuman, Kathy R. Holler, Michele N. O'Brien
Hearing Site: Houston, TX
|  | Expungement |
| 14-03768 | 07/10/2015 | Claimant(s): Carl Smith, Joseph Baldassarra, Steven Baldassarra
Claimant Lawyers(s): Carl Smith
Respondent(s): Pieter Wijk
Respondent Lawyers(s): Hilton M. Wiener
Arbitrator(s): Michele N. O'Brien
Hearing Site: Houston, TX
| | $0 |
| 13-02461 | 03/13/2015 | Claimant(s): JT & JT Enterprises.
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): Sunset Financial Services.
Respondent Lawyers(s): Martin S. Schexnayder
Arbitrator(s): Maryanne M. Esser, Michele N. O'Brien, Jason Kyle Beale
Hearing Site: Houston, TX
| | $0 |
| 13-01692 | 11/03/2014 | Claimant(s): Anita Carter, Bruce Smith, Charles Gruenwald Jr., Clyde Chisholm, Cynthia Dore, Don Landers, Fred Demarest, Gail Unglesby, George Forbes, Jason Graham, Jean Mayhall, Jerry Burris, Jessie Romig, John Wade, Jon Goeckel, Joseph Becker, Lynn Philippe, Mallory D'Amore, Mamie Baumann, Martha Witmer, et al
Claimant Lawyers(s): Chuck Gordon, Crystal Burkhalter, John Grinton, Phillip Preis
Respondent(s): Pershing LLC
Respondent Lawyers(s): Elizabeth F. Edwards
Arbitrator(s): Michele N. O'Brien, Brian P. Jakes, Mario Alberto Arteaga
Hearing Site: New Orleans, LA
| | $10,000 |
| 11-04259 | 05/13/2014 | Claimant(s): Patricia Williams
Claimant Lawyers(s): T. Jay Seale
Respondent(s): Ameriprise Financial Services., Jeanine Cazaubon
Respondent Lawyers(s): Susan Sheely
Arbitrator(s): Michele N. O'Brien, Eric M. Schorr
Hearing Site: New Orleans, LA
| | Expungement |
| 11-04191 | 02/26/2014 | Claimant(s): John McGregor
Claimant Lawyers(s): Adam M. Green
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Joseph Calabrese
Arbitrator(s): Steve R. Neuman, Michele N. O'Brien, Michael Thomas Tusa
Hearing Site: New Orleans, LA
| | Expungement |
| 11-02167 | 05/29/2012 | Claimant(s): Cleaver Sanders
Claimant Lawyers(s): Malcom X. Larvadain
Respondent(s): Daniel Nowak, Chase Investment Services Corp.
Respondent Lawyers(s): Vicki M. Crochet
Arbitrator(s): Michael T. Nobile, Michele N. O'Brien, Mario Alberto Arteaga
Hearing Site: New Orleans, LA
| | |
| 09-02596 | 07/12/2010 | Claimant(s): Tommy Sausley
Claimant Lawyers(s): Tommy N. Sausley
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Thomas D. Cordell
Arbitrator(s): Philip I. McConnell, Mark A. Myers, Michele N. O'Brien
Hearing Site: Houston, TX
| | |
| 09-01745 | 03/26/2010 | Claimant(s): Christine L.Lane, as Bene of the
Claimant Lawyers(s): Mark C. Watler
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Braden O. Wilhelm
Arbitrator(s): George A. Sellnau, Steven M. Ruderman, Michele N. O'Brien
Hearing Site: Houston, TX
| | $0 |
| 06-04621 | 10/05/2007 | Claimant(s): Christine McGinnis
Claimant Lawyers(s): Joseph J. Hroch
Respondent(s): Fredrick McGinnis, UBS Financial Services Inc.
Respondent Lawyers(s): James M. Kimbell, Paul D. Flack
Arbitrator(s): Nathan Levy, Mark C. Watler, Michele N. O'Brien
Hearing Site: Houston, TX
| | Dismissed by Rule 12206 |
