| 23-02833 | 06/14/2024 | Claimant(s): Kevin Wright, Shay Scruggs
Claimant Lawyers(s): Brent A. Burns
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): John Murphy
Arbitrator(s): Sherry R. Wetsch, Robert C. Rice, Bill Ray Haley
Hearing Site: Houston, TX
| | |
| 22-02253 | 11/20/2023 | Claimant(s): Brian Stephens
Claimant Lawyers(s): Gary S. Kessler
Respondent(s): Avantax Investment Services.
Respondent Lawyers(s): Judith Knudsen
Arbitrator(s): Michael Edward Watts, Robert C. Rice, Kevin Colby
Hearing Site: Houston, TX
| | |
| 23-00770 | 09/08/2023 | Claimant(s): AIStorm.
Claimant Lawyers(s): Robert J. Barker
Respondent(s): Citigroup Global Markets., Shannon Koffman
Respondent Lawyers(s): Ellen M. Murphy
Arbitrator(s): Robert C. Rice
Hearing Site: Houston, TX
|  | $0 |
| 22-02523 | 08/03/2023 | Claimant(s): Donald Terry
Claimant Lawyers(s): Brian Luther
Respondent(s): Principal Securities.
Respondent Lawyers(s): Destinee Campbell Small
Arbitrator(s): Robert C. Rice
Hearing Site: Houston, TX
| | |
| 22-02681 | 03/22/2023 | Claimant(s): Adrienne LaViolette
Claimant Lawyers(s): Adrienne LaViolette
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): Robert C. Rice
Hearing Site: Houston, TX
| | $0 |
| 20-00109 | 03/07/2023 | Claimant(s): Nicholas Low
Claimant Lawyers(s): Rogge Dunn
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Jeffrey S. Dunlap
Arbitrator(s): Oren L. Connaway, Robert C. Rice, Mina Banerjee
Hearing Site: Houston, TX
| | |
| 22-00365 | 08/10/2022 | Claimant(s): Alexander Ladage
Claimant Lawyers(s): Melissa J. Gworek
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Robert C. Rice
Hearing Site: Houston, TX
| | |
| 19-01096 | 06/30/2022 | Claimant(s): Timothy Satre
Claimant Lawyers(s): Mark C. Sparks
Respondent(s): David Dick, David Wilson, Ameriprise Financial Services
Respondent Lawyers(s): Edward A. Walton
Arbitrator(s): Ronald L. Mullins, Robert C. Rice, David Aaron DeSoto
Hearing Site: Houston, TX
| | |
| 20-00631 | 05/27/2021 | Claimant(s): US Capital Global Securities
Claimant Lawyers(s): George Murray Hudson
Respondent(s): Emerge Real Estate Group, Noble Capital Fund Management, Noble Capital Group, Noble Capital Servicing LLC, Streamline Funding Group
Respondent Lawyers(s): Jason M. Hopkins
Arbitrator(s): Robert C. Rice
Hearing Site: Houston, TX
| | |
| 20-00401 | 05/05/2021 | Claimant(s): Joanne Olson
Claimant Lawyers(s): Kirk G. Smith
Respondent(s): Wells Fargo Advisors Financial Network
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): Jack Chapline Vaughan, Daniel D. Hill, Robert C. Rice
Hearing Site: Houston, TX
| | Expungement |
