| 22-01311 | 08/22/2024 | Claimant(s): Alexander Apelles
Claimant Lawyers(s): Alvin Adjei
Respondent(s): Edward Jones
Respondent Lawyers(s): Ryan Swink
Arbitrator(s): John (Chris) Melton, Platt W. Davis, Elena Dilorio
Hearing Site: Houston, TX
| | |
| 20-03694 | 07/14/2022 | Claimant(s): Juan Rodriguez, Myriam Gonzalez
Claimant Lawyers(s): Jeffrey D. Anderson
Respondent(s): Antonio ReynaL Financial LLC, Edward Miller, Financial Resources Group Investment Srv
Respondent Lawyers(s): Jack D. Ballard
Arbitrator(s): G. Maynard Green, Danielle L. Hargrove, Elena Dilorio
Hearing Site: Houston, TX
|  | $2,573,340 |
| 20-03798 | 03/24/2022 | Claimant(s): B. Bryant, Memorial Rock Investments L.P.
Claimant Lawyers(s): Lance C. Arney
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David L. Goldberg
Arbitrator(s): Daniel J. Pagnano, Elena DiIorio, Bartlett Michael Sheinberg
Hearing Site: Houston, TX
| | $1,184,210 |
| 20-00633 | 08/09/2021 | Claimant(s): Thomas Archer
Claimant Lawyers(s): Leonard J. Meyer
Respondent(s): Voya Financial Advisors.
Respondent Lawyers(s): Martin S. Schexnayder
Arbitrator(s): Elena DiIorio, Jonathan Charles Day, Bill Ray Haley
Hearing Site: Houston, TX
| | |
| 16-02429 | 05/12/2017 | Claimant(s): Kristopher Whitney
Claimant Lawyers(s): Kristopher C. Whitney
Respondent(s): NYLife Securities LLC, Carolyn Wagner, Edward Martinez, Jaime Garcia, Nancy Hunt
Respondent Lawyers(s): Carolyn Maureen Wagner, Edward O. Martinez, Jaime Eduardo Garcia, Mike G. Brown, Nancy L. Hunt
Arbitrator(s): Daniel J. Pagnano, Elena DiIorio, Curtis Jay Meador
Hearing Site: Houston, TX
| | Expungement |
| 14-00987 | 11/16/2015 | Claimant(s): Alice Saffell, Cynthia Peterson
Claimant Lawyers(s): Alice Saffell, Cynthia A. Peterson
Respondent(s): Jack Kusch, Madison Avenue Securities.
Respondent Lawyers(s): Daniel A. Hetzel
Arbitrator(s): Donald K. Eckhardt, Brian James Tagtmeier, Elena DiIorio
Hearing Site: Houston, TX
| | $15,000 |
