23-00256 | 06/21/2024 | Claimant(s): Maria Cristina Donnelly Claimant Lawyers(s): David Cook Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Justin Opitz Arbitrator(s): Sherry R. Wetsch, Maryanne M. Esser, Allan R. Lazor Hearing Site: Houston, TX
| | $0 |
22-02383 | 05/14/2024 | Claimant(s): Joseph Barbour Claimant Lawyers(s): Dochtor Kennedy Respondent(s): BBVA Securities. Respondent Lawyers(s): Jonathan P. Hoffmann Arbitrator(s): Allan R. Lazor Hearing Site: Houston, TX
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22-02894 | 04/17/2024 | Claimant(s): Peggy Hedgren Claimant Lawyers(s): Jennifer P. Farrar Respondent(s): Edward Jones Respondent Lawyers(s): Donald R. Littlefield Arbitrator(s): Allan R. Lazor, David Aaron DeSoto, Fred Olivares Hearing Site: Houston, TX
| | Expungement |
23-00226 | 01/10/2024 | Claimant(s): Terry Hastings Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Charles Schwab & Co.. Respondent Lawyers(s): Christopher F. Robertson Arbitrator(s): Allan R. Lazor Hearing Site: New Orleans, LA
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22-00728 | 09/12/2023 | Claimant(s): Robert Cappiello Claimant Lawyers(s): Nicholas J. Guiliano Respondent(s): McNally Financial Services Corporation Respondent Lawyers(s): Gary S. Kessler Arbitrator(s): Jacqueline R. Fox, Sherry R. Wetsch, Allan R. Lazor Hearing Site: Houston, TX
| | Expungement |
22-01754 | 06/05/2023 | Claimant(s): Kimberly Ripoll Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Wells Fargo Clearing Services Respondent Lawyers(s): Jason Kempf Arbitrator(s): Allan R. Lazor Hearing Site: Houston, TX
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22-01442 | 04/14/2023 | Claimant(s): James Malloch Claimant Lawyers(s): Kevin D. Galbraith Respondent(s): Cambridge Investment Research. Respondent Lawyers(s): Jeanette E. Dennis Arbitrator(s): Allan R. Lazor Hearing Site: Houston, TX
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21-02697 | 04/04/2023 | Claimant(s): Denny Gamble Claimant Lawyers(s): Grace A. Van Hancock Respondent(s): Network 1 Financial Securities Inc. Respondent Lawyers(s): Craig A. Riha Arbitrator(s): Allan R. Lazor, Chris W. Surprenant, Mary Audiffred Hearing Site: New Orleans, LA
| | Expungement |
20-02401 | 12/23/2022 | Claimant(s): Ramakrishna Chav MD PA, for its 401Ks, Ramakrishna Chava MD PA, for its PSP, Ramakrishna Chava, for his Roth IRA, for his SEP IRA, Chava Family LP, a Partnership, Ramakrishna Chava as Trustee Claimant Lawyers(s): Steven D. Toskes Respondent(s): National Securities Corporation Respondent Lawyers(s): Fred Knopf Arbitrator(s): Sherry R. Wetsch, Allan R. Lazor, Lisa Lemons Hearing Site: Houston, TX
| | Expungement |
21-00450 | 02/24/2022 | Claimant(s): Kevin Knight Claimant Lawyers(s): Kevin Knight Respondent(s): Robinhood Financial., Robinhood Securities Respondent Lawyers(s): Dominick F. Evangelista Arbitrator(s): Daniel J. Pagnano, Allan R. Lazor, Kevin Colby Hearing Site: Houston, TX
| | $0 |