| 13-01087 | 12/12/2014 | Claimant(s): Patricia McNamara, The Estate of Francis Leo McNamara
Claimant Lawyers(s): Michael Klein
Respondent(s): Ameriprise Financial Services., Justin Montandon
Respondent Lawyers(s): Edward Walton
Arbitrator(s): R. Lee Britton Jr., Jeff Kilgore, Malcolm Edwin Whittaker
Hearing Site: Houston, TX
|  | $127,740 |
| 13-00990 | 08/22/2014 | Claimant(s): Debra Rafano
Claimant Lawyers(s): Debra J. Rafano
Respondent(s): Morgan Stanley Dean Witter
Respondent Lawyers(s): Chan H. Nam
Arbitrator(s): R. Lee Britton Jr., Robert L. Moran, William Guy Arnot
Hearing Site: Houston, TX
| | $0 |
| 13-03334 | 07/29/2014 | Claimant(s): Estate of Dudley D. Martens
Claimant Lawyers(s): Christopher J. Gray
Respondent(s): Jerry McCutchen, Next Financial Group.
Respondent Lawyers(s): William F. Ray
Arbitrator(s): R. Lee Britton Jr., Lynne R. Stern, Daniel Patrick Hurley
Hearing Site: New Orleans, LA
| | Dismissed by Rule 12206 |
| 11-02570 | 11/11/2013 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes FA
Claimant Lawyers(s): Sophie I. Myers
Respondent(s): Cynthia Barrera
Respondent Lawyers(s): Cynthia Marie Barrera
Arbitrator(s): R. Lee Britton Jr.
Hearing Site: Houston, TX
| | |
| 11-04666 | 10/03/2013 | Claimant(s): Phyllis Worthen
Claimant Lawyers(s): Leonard J. Meyer
Respondent(s): Edward Jones
Respondent Lawyers(s): Andrew R. Harvin
Arbitrator(s): R. Lee Britton Jr., Donald K. Eckhardt, Oren L. Connaway
Hearing Site: Houston, TX
| | $0 |
| 10-01519 | 10/30/2012 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Erik Littlejohn
Respondent Lawyers(s): Cynthia R. Levin Moulton
Arbitrator(s): Leah A. Murray, R. Lee Britton Jr., Ross D. Friend
Hearing Site: Houston, TX
| | |
| 11-01469 | 09/07/2012 | Claimant(s): William Sheka
Claimant Lawyers(s): Nicholas J Guiliano
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): R. Lee Britton Jr.
Hearing Site: Houston, TX
| | Expungement |
| 10-01756 | 08/16/2012 | Claimant(s): Frank Carroll
Claimant Lawyers(s): John R. Strawn
Respondent(s): Muhammad Khan, Bluechip Securities.
Respondent Lawyers(s): Muhammad A. Khan, President
Arbitrator(s): R. Lee Britton Jr., Carol Frances Relihan, Camille Morris Tankersley
Hearing Site: Houston, TX
| | $446,130 |
| 09-06438 | 03/16/2012 | Claimant(s): Nathan Friedlander, Nathan Friedlander & Joan Friedlander, Harris Friedlander Trust U/A DTD 7/25/89
Claimant Lawyers(s): Timothy J. Dennin
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Evelyn Best
Arbitrator(s): R. Lee Britton Jr., Cynthia Lee Traina, Constance K. Barron
Hearing Site: New Orleans, LA
| | Expungement |
| 10-04177 | 11/22/2011 | Claimant(s): Nick Bohmann
Claimant Lawyers(s): Nick R. Bohmann
Respondent(s): New England Securities, Marc Colby, Michael Priede, Metlife Securities Inc.
Respondent Lawyers(s): Ethan G. Zelizer
Arbitrator(s): R. Lee Britton Jr.
Hearing Site: Houston, TX
| | |
