| 19-00443 | 01/21/2020 | Claimant(s): Jose Medardo Burgos F, Maria Del Carmen G Burgos, Maria Medina-Luna Anaya
Claimant Lawyers(s): Kirk G. Smith
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Simon Levy
Arbitrator(s): Jack Chapline Vaughan, William A. Allen, Allan R. Lazor
Hearing Site: Houston, TX
|  | $0 |
| 16-03332 | 11/29/2017 | Claimant(s): Steven Pritchard
Claimant Lawyers(s): Richard A Lewins
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Joelle A. Simms
Arbitrator(s): William A. Allen, Royal B. Lea, Brian James Tagtmeier
Hearing Site: Houston, TX
| | Expungement |
| 13-02229 | 11/18/2014 | Claimant(s): Ed Herringshaw, Mark Rowe, Mary Rowe, Oscar Jones, Roger Matz, Warren Cherry, Estate of Allen Bakker, John Wakefield, Lee Levine, Mark Bentley, Mary Kochenderfer, Melissa Overbay, Paul Wright, Pete Altimore, Robert Evans, Roger Michael, Ron Appelt, W. Bruce Overbay, Wayne Kochenderfer
Claimant Lawyers(s): Wesley Lotz
Respondent(s): U.S. Capital Advisors LLC, USCA RIA LLC, USCA Securities LLC
Respondent Lawyers(s): Suzanne Hickey, CCO
Arbitrator(s): Charles E. Munson, William A. Allen, David C. Redford
Hearing Site: Houston, TX
| | Settlement |
| 09-06181 | 11/04/2011 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Amy M. Fritsky
Respondent(s): Matt Neas
Respondent Lawyers(s): Matt S. Neas
Arbitrator(s): Jack Chapline Vaughan, Joseph Herbert Storthz, William A. Allen
Hearing Site: Houston, TX
| | |
| 09-06311 | 11/15/2010 | Claimant(s): Homer Martin
Claimant Lawyers(s): Royal B. Lea
Respondent(s): Riverstone Wealth Mangement.
Respondent Lawyers(s): John Courtade
Arbitrator(s): Ross D. Friend, William A. Allen, David C. Redford
Hearing Site: Houston, TX
| | $512,101 |
| 08-02698 | 08/12/2009 | Claimant(s): Gary Mayes, Estate of Elwin D. Mayes, Gary Brent May
Claimant Lawyers(s): Marnie C. Lambert
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Stacey M. Garrett
Arbitrator(s): Frank M. Romano, Christine Winn Powell, William A. Allen
Hearing Site: Houston, TX
| | $116,000 |
| 05-03288 | 04/23/2009 | Claimant(s): TIG Limited
Claimant Lawyers(s): Marcus L. Stevenson
Respondent(s): Charles O'Connell, Wachovia Securities, Lance Roberts, Arista Enterprises.
Respondent Lawyers(s): Christopher A. Fusselman, Judy Louie
Arbitrator(s): Morris Rubin, Don K. Leufven, William A. Allen
Hearing Site: Houston, TX
| | $0 |
| 07-03163 | 12/30/2008 | Claimant(s): Robert Bonds and Gilda Bonds
Claimant Lawyers(s): Dan K. Worthington
Respondent(s): Ameriprise Advisor Services., Robert Bullock
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): W. Merrill Glasgow, Timothy L. Andrews, William A. Allen
Hearing Site: Houston, TX
| | Expungement |
