| 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
| | |
| 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
| | |
| 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
| | |
| 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
| | |
| 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 |
