| 24-00092 | 07/29/2024 | Claimant(s): Amra Uzair, Mirza Beg
Claimant Lawyers(s): Joshua Kons
Respondent(s): CrowdStreet., Crowdstreet Capital LLC
Respondent Lawyers(s): Gabrielle Gould
Arbitrator(s): Lynne M. Gomez, Montie G. Grimes, David Aaron DeSoto
Hearing Site: Houston, TX
|  | Dismissed by Rule 12200 |
| 22-01333 | 06/23/2023 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Jonathan D. Berg
Respondent(s): Joshua Maniscalco
Respondent Lawyers(s): Joshua P. Maniscalco
Arbitrator(s): Samuel Olutola Akeju, Montie G. Grimes, Peter Ntephe
Hearing Site: Houston, TX
| | $641,262 |
| 22-02421 | 06/20/2023 | Claimant(s): Paolo Thompson
Claimant Lawyers(s): Robert K. Jamieson
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): Laura Ruiz Rivera
Arbitrator(s): Leslie Bernard Jallans, Lynne M. Gomez, Montie G. Grimes
Hearing Site: Houston, TX
| | |
| 19-00021 | 05/14/2020 | Claimant(s): Earnest Frederick, Timothy Moeller
Claimant Lawyers(s): Samuel B. Edwards
Respondent(s): LPL Financial LLC, First National Bank of Shiner
Respondent Lawyers(s): Jack D. Ballard
Arbitrator(s): Mary Esther Escobedo, Montie G. Grimes, Shannon Lyn Mays
Hearing Site: Houston, TX
| | $0 |
| 17-00756 | 10/02/2018 | Claimant(s): David Morin
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Windsor Street Capital
Respondent Lawyers(s): John Stalanski, CCO
Arbitrator(s): R. Lee Britton Jr., Montie G. Grimes, Jonathan Charles Day
Hearing Site: Houston, TX
| | $287,186 |
| 14-02839 | 08/05/2016 | Claimant(s): Michael Taylor
Claimant Lawyers(s): Seth E. Lipner
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): Maryanne M. Esser, Montie G. Grimes, Thomas D. Cordell
Hearing Site: Houston, TX
| | |
| 12-02570 | 10/10/2014 | Claimant(s): Craig D. Porter Family Ltd. Partnership
Claimant Lawyers(s): Herbert E. Pounds
Respondent(s): UBS International.
Respondent Lawyers(s): Tracey Salmon-Smith
Arbitrator(s): Antoinette M. Romano, Brian James Tagtmeier, Montie G. Grimes
Hearing Site: Houston, TX
| | Expungement |
| 11-03496 | 04/19/2013 | Claimant(s): Ernest Gomez, Kim Gomez, KEGZ Interests LP Defined Benefit Plan
Claimant Lawyers(s): Christopher Mader
Respondent(s): Wells Fargo Investments
Respondent Lawyers(s): Brent J. Burtin
Arbitrator(s): Thomas D. Nagle, William Edward Buck, Montie G. Grimes
Hearing Site: Houston, TX
| | Expungement |
| 11-03046 | 06/14/2012 | Claimant(s): Claude Berwick, Sheila Berwick, Claude R. Berwick IRA, Sheila C. Berwick IRA
Claimant Lawyers(s): William S. Shepherd
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Martha F. McDugald
Arbitrator(s): William Edward Buck, Stephen James Cavanaugh, Montie G. Grimes
Hearing Site: Houston, TX
| | $70,000 |
