| 16-00647 | 05/25/2018 | Claimant(s): John Barry Glenn, Nancy P. Glenn
Claimant Lawyers(s): Jason T. Albin
Respondent(s): Morgan Stanley, RBC Capital Markets LLC, Robert Dennison
Respondent Lawyers(s): John P. Kincade, Kimberly J. Gustafson
Arbitrator(s): Richard F. Dole, Malcolm Edwin Whittaker, Michael S. Yauch
Hearing Site: Houston, TX
|  | Expungement |
| 15-00737 | 07/25/2016 | Claimant(s): James J. Flanagan Shipping Corporation
Claimant Lawyers(s): Andrew R. Harvin
Respondent(s): John Labarca, National Securities Corporation
Respondent Lawyers(s): Derek Anderson, John Labarca
Arbitrator(s): Richard F. Dole, Byron G. Hannah, Andrea Joan Douglas
Hearing Site: Houston, TX
| | $504,443 |
| 14-01822 | 01/20/2016 | Claimant(s): Alan Azar
Claimant Lawyers(s): Royal B. Lea
Respondent(s): EDI Financial.
Respondent Lawyers(s): Joseph L. Hood
Arbitrator(s): Thomas A. Cipolla, Richard F. Dole, Sherry R. Wetsch
Hearing Site: Houston, TX
| | $273,606 |
| 12-03762 | 08/12/2014 | Claimant(s): Bridget Gipson, John Gaynoe
Claimant Lawyers(s): David Luther Woodward, Marsha L. Lyons
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Joseph C. Coates
Arbitrator(s): Richard F. Dole, Onnig Hatchig Dombalagian, Richard Devlin Roussel
Hearing Site: Houston, TX
| | |
| 12-01440 | 06/09/2014 | Claimant(s): Paul Westervelt, Tyler Kerrigan
Claimant Lawyers(s): Peter B. Sloss
Respondent(s): George Ball, William Sprague, Sanders Morris Harris Inc.
Respondent Lawyers(s): Jack D. Ballard, James Fornari
Arbitrator(s): Michael T. Nobile, Richard F. Dole, Allen M. Kerpan
Hearing Site: New Orleans, LA
| | |
| 13-02109 | 03/26/2014 | Claimant(s): James Dickson, Margery Dickson
Claimant Lawyers(s): James Boanerges
Respondent(s): Golden Beneficial Securities Corporation
Respondent Lawyers(s): Sean Leidelmeyer, CEO
Arbitrator(s): Richard F. Dole, Jeff Kilgore, Daniel Stephen Dexter
Hearing Site: Houston, TX
| | $2,497,700 |
| 12-00859 | 01/17/2013 | Claimant(s): Anna Manzo, Francis Manzo, Francis M & Anna Marie Manzo Fam Trst, P. Manzo & W. Manzo Living Trust
Claimant Lawyers(s): Kristian P. Kraszewiski
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Esther E. Cho
Arbitrator(s): Randall W Heinrich, Richard F. Dole, Michael L. Landrum
Hearing Site: Houston, TX
| | Expungement |
| 10-03186 | 11/21/2011 | Claimant(s): Earl Duhon, Lillie Duhon
Claimant Lawyers(s): Thomas Kiehnoff
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Robert Shriver, Merrill Lynch Life Agency
Respondent Lawyers(s): Martha F. McDugald
Arbitrator(s): Mobley E. Cox, Richard F. Dole, Robert Alan Meyer
Hearing Site: Houston, TX
| | Expungement |
| 10-00987 | 12/20/2010 | Claimant(s): Marianne Iamele
Claimant Lawyers(s): Merritt N. Spencer
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Sean B. Meehan
Arbitrator(s): Richard F. Dole, Maurice J. Fallas, Danielle L. Hargrove
Hearing Site: Houston, TX
| | $65,686 |
| 09-00364 | 11/09/2010 | Claimant(s): Investment Professionals.
Claimant Lawyers(s): Joseph B. Alonso
Respondent(s): Betsy Perryman, Matthew Marcom
Respondent Lawyers(s): Royal Lea
Arbitrator(s): Jerry C. Prestridge, Richard F. Dole, Charles A. Bankston
Hearing Site: Houston, TX
| | |
