| 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 |
| 14-01015 | 07/28/2015 | Claimant(s): Cheryl Galyan, Ralph Galyan
Claimant Lawyers(s): Christa Samaniego
Respondent(s): Adriana Estevez, Morgan Stanley, Mark Magarian
Respondent Lawyers(s): Debra Achkire
Arbitrator(s): Steve R. Neuman, Walter F. Schleyer, Jack Chapline Vaughan
Hearing Site: Houston, TX
| | Expungement |
| 12-01527 | 05/05/2014 | Claimant(s): Robert Garrison
Claimant Lawyers(s): Jacks C. Nickens
Respondent(s): Sanders Morris Harris Inc.
Respondent Lawyers(s): Donald R. Littlefield
Arbitrator(s): Steve R. Neuman, Walter F. Schleyer, Charles E. Munson
Hearing Site: Houston, TX
| | |
| 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 |
| 09-04033 | 07/14/2010 | Claimant(s): Scott Skinner
Claimant Lawyers(s): Brian D. Buckstein
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Audrey Y. Dupont
Arbitrator(s): Steve R. Neuman, Larry J. Sklar, Matthew G. Wylie
Hearing Site: Houston, TX
| | |
| 09-00767 | 11/24/2009 | Claimant(s): Anthony Peterman
Claimant Lawyers(s): Anthony Peterman
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): Steve R. Neuman
Hearing Site: Houston, TX
| | $9,997 |
| 08-01294 | 10/09/2009 | Claimant(s): Joseph Wayne Smith and Carol C. Smith
Claimant Lawyers(s): Andrew Stoltmann
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): S. Lawrence Polk
Arbitrator(s): Steve R. Neuman, Keith E. Robinson, Brian P. Jakes
Hearing Site: New Orleans, LA
| | $40,000 |
| 07-00466 | 10/12/2007 | Claimant(s): Michael Airhart and Amy Airhart
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Jake Carriker, Riverstone Wealth Management.
Respondent Lawyers(s): John Courtade
Arbitrator(s): Steve R. Neuman, Kathy R. Holler, Robert P. Houston
Hearing Site: Houston, TX
| | $0 |
