| 19-03609 | 04/03/2020 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Jack D. Ballard
Respondent(s): Juan Uribe
Respondent Lawyers(s): Juan Uribe
Arbitrator(s): Raymond C. Kerr
Hearing Site: Houston, TX
| | |
| 18-02253 | 12/18/2019 | Claimant(s): Joey Singleton IRA
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jennifer N. Lamirand
Arbitrator(s): Raymond C. Kerr, Malcolm Edwin Whittaker, Kevin Colby
Hearing Site: Houston, TX
|  | $0 |
| 19-01419 | 12/06/2019 | Claimant(s): Michael Rodriguez
Claimant Lawyers(s): Rogge Dunn
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah Yates
Arbitrator(s): Raymond C. Kerr, Robert J. Gregory, Colleen Margaret Baker
Hearing Site: Oklahoma City, OK
| | |
| 19-00362 | 08/12/2019 | Claimant(s): Securities America.
Claimant Lawyers(s): Tyler J. Schubauer
Respondent(s): Rodrick Dow
Respondent Lawyers(s): Rodrick Wayne Dow
Arbitrator(s): Raymond C. Kerr
Hearing Site: Houston, TX
| | |
| 16-02863 | 05/17/2019 | Claimant(s): Mark E. Viator IRA
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Fred N. Knopf
Arbitrator(s): Raymond C. Kerr, David C. Redford, Allan R. Lazor
Hearing Site: Houston, TX
| | $0 |
| 18-03178 | 02/14/2019 | Claimant(s): Kristi Prewitt
Claimant Lawyers(s): Kristi Prewitt
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith F. Hoffman
Arbitrator(s): Raymond C. Kerr
Hearing Site: Houston, TX
| | $0 |
| 18-00519 | 10/25/2018 | Claimant(s): Iain Sharpe
Claimant Lawyers(s): Matthew B. Henneman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): Raymond C. Kerr
Hearing Site: Houston, TX
| | |
| 16-03445 | 08/15/2017 | Claimant(s): Alfred Kovacs
Claimant Lawyers(s): Anthony J. Borrelli
Respondent(s): Susan Beyer, Vernon Beyer, The Beyer 2014 Trust, The VEB Trust, The Vernon Beyer Descendant Trust
Respondent Lawyers(s): John L. Dagley
Arbitrator(s): Raymond C. Kerr
Hearing Site: Houston, TX
| | Expungement |
| 16-02077 | 07/19/2017 | Claimant(s): William Leven
Claimant Lawyers(s): Scott E. Rahn
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Katie M. Kimbrell
Arbitrator(s): Raymond C. Kerr
Hearing Site: Houston, TX
| | |
| 15-02085 | 12/14/2016 | Claimant(s): David Covington
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Patricia E. Cowart
Arbitrator(s): Raymond C. Kerr, Barbara L. Edin, Daniel J. Pagnano
Hearing Site: New Orleans, LA
| | Expungement |
