19-01495 | 12/26/2019 | Claimant(s): Kimberly Ripoll Claimant Lawyers(s): Brian E. Bro Respondent(s): Francis O'Neill, RBC Capital Markets LLC Respondent Lawyers(s): Lindsay E. Wuller Arbitrator(s): Daniel J. Pagnano, Allan R. Lazor, Richard Roger Brewer Hearing Site: Houston, TX
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17-00904 | 11/13/2019 | Claimant(s): Juan Angel Rodriguez, Myriam Gonzalez Claimant Lawyers(s): Lawrence Bradley Hancock Respondent(s): LPL Financial LLC Respondent Lawyers(s): Jack D. Ballard Arbitrator(s): Maryanne M. Esser, Malcolm Edwin Whittaker, Allan R. Lazor Hearing Site: Houston, TX
| | $1,554,840 |
19-01033 | 10/30/2019 | Claimant(s): Patrick Borecky Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Scottrade Inc. Respondent Lawyers(s): Marcia A. Washkuhn Arbitrator(s): Allan R. Lazor Hearing Site: Little Rock, AR
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18-02895 | 10/16/2019 | Claimant(s): Anne Marie Fargason, Evelyn Chiasson Claimant Lawyers(s): Frank "Kim" Breese Respondent(s): Andrew Black, Morgan Stanley & Co. Respondent Lawyers(s): Timothy B. Atkins Arbitrator(s): Frank M Romano, Bertrand C. Moser, Allan R. Lazor Hearing Site: New Orleans, LA
| | $109,323 |
18-02295 | 07/23/2019 | Claimant(s): Troy Taylor Claimant Lawyers(s): Troy Wayne Taylor Respondent(s): Amegy Investments. Respondent Lawyers(s): Thomas J. Press Arbitrator(s): Allan R. Lazor Hearing Site: Houston, TX
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17-01244 | 06/12/2019 | Claimant(s): Sandra Calderon, Bluebird Corporation Claimant Lawyers(s): Gregg Breitbart, Osvaldo Carlo Linares Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR Respondent Lawyers(s): Randi P. Spallina, Roberto C. Quinones Arbitrator(s): Mary E. Woytek, Allan R. Lazor, Stephen Louis Wright Hearing Site: San Juan, PR
| | Expungement |
16-02863 | 05/17/2019 | Claimant(s): Mark E. Viator IRA Claimant Lawyers(s): Richard B. Fosher Respondent(s): National Securities Corporation Respondent Lawyers(s): Fred N. Knopf Arbitrator(s): Raymond C. Kerr, David C. Redford, Allan R. Lazor Hearing Site: Houston, TX
| | $0 |
18-01389 | 05/09/2019 | Claimant(s): Mary Lott Claimant Lawyers(s): Jonathan Kurta Respondent(s): Wells Fargo Clearing Services Respondent Lawyers(s): Patricia E. Cowart Arbitrator(s): Allan R. Lazor Hearing Site: New Orleans, LA
| | $0 |
17-01803 | 04/09/2018 | Claimant(s): Bryan Kaarlsen Claimant Lawyers(s): Dochtor Kennedy Respondent(s): LPL Financial LLC, Next Financial Group. Respondent Lawyers(s): John T. Unger, Jon D. Kaplon Arbitrator(s): Allan R. Lazor Hearing Site: Houston, TX
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16-01663 | 03/30/2018 | Claimant(s): Fionnuala Stockton, Joseph Stockton, JFS Ventures Ltd. Claimant Lawyers(s): Edward H. Glenn Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Alise J. Henry Arbitrator(s): Daniel J. Pagnano, Allan R. Lazor, Jonathan Charles Day Hearing Site: Houston, TX
| | Expungement |