| 19-01127 | 04/28/2023 | Claimant(s): Trent L. Rosenthal Trust
Claimant Lawyers(s): Samuel B. Edwards
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Anthony J. Borrelli
Arbitrator(s): Francis Joseph Bourgeois, Julie Marie Miller, Edwin Kisiel
Hearing Site: Houston, TX
|  | Expungement |
| 21-03031 | 04/19/2023 | Claimant(s): Meredith Campbell
Claimant Lawyers(s): Michael Bessette
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Tracy L. Gerber
Arbitrator(s): Jeffrey Richard Chiappetta, Julie Marie Miller, Albert Bates Wenzell
Hearing Site: Dallas, TX
| | |
| 20-02796 | 02/02/2023 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Vatsala Sahay
Respondent(s): Raymond James Financial Services., Kent Rhoades
Respondent Lawyers(s): Matthew B. Baum
Arbitrator(s): Scott T. Clavenna, Kim L. Kirn, Julie Marie Miller
Hearing Site: Little Rock, AR
| | |
| 20-00684 | 11/24/2020 | Claimant(s): John Stevens
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jon D. Kaplon
Arbitrator(s): Julie Marie Miller
Hearing Site: Houston, TX
| | |
| 19-03526 | 06/16/2020 | Claimant(s): David Butler
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Edward Jones
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): Julie Marie Miller
Hearing Site: Little Rock, AR
| | |
| 19-00686 | 01/21/2020 | Claimant(s): Ronald Cameron
Claimant Lawyers(s): Richard T. Donovan
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): Shepherd D. Tate
Arbitrator(s): James Paul Beachboard, Scott T. Clavenna, Julie Marie Miller
Hearing Site: Little Rock, AR
| | |
| 15-03228 | 04/24/2018 | Claimant(s): Interactive Brokers LLC
Claimant Lawyers(s): David Luger
Respondent(s): Huzaifa Husain
Respondent Lawyers(s): Huzaifa Husain
Arbitrator(s): Malcolm Edwin Whittaker, Mary Esther Escobedo, Julie Marie Miller
Hearing Site: Houston, TX
| | $0 |
| 16-00891 | 08/04/2017 | Claimant(s): Linda Attwood, Scott Attwood, Trustee of the Linda, Scott R. Attwood, Trustee of the Scott
Claimant Lawyers(s): Kevin Edmundson
Respondent(s): UBS Financial Services Inc., Zahir Walji
Respondent Lawyers(s): Coren H. Stern, Lance C. Arney
Arbitrator(s): Leslie Bernard Jallans, Julie Marie Miller, Kimberlee Kovach
Hearing Site: Houston, TX
| | $0 |
| 15-03489 | 03/27/2017 | Claimant(s): James Robertson
Claimant Lawyers(s): Mike Aduddell
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jack D. Ballard
Arbitrator(s): Larry J. Sklar, Brian James Tagtmeier, Julie Marie Miller
Hearing Site: Houston, TX
| | |
| 14-02301 | 11/06/2015 | Claimant(s): Paula Mott
Claimant Lawyers(s): Sanford L. Dow
Respondent(s): Wunderlich Securities.
Respondent Lawyers(s): Jonathan Cromwell Hancock
Arbitrator(s): R. Lee Britton Jr., John F. Hinrichs, Julie Marie Miller
Hearing Site: Houston, TX
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