| 21-02651 | 03/22/2023 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Matthew B. Henneman
Respondent(s): Gregory Novak, Tracy Druce
Respondent Lawyers(s): Gregory Novak, Tracy Druce
Arbitrator(s): Linda Broocks, Daniel J. Pagnano, William G Brown
Hearing Site: Houston, TX
|  | $260,436 |
| 21-02117 | 04/05/2022 | Claimant(s): Phillip Rademacher
Claimant Lawyers(s): Linda Broocks
Respondent(s): Charles Kuszmaul, Diane Bythell
Respondent Lawyers(s): John R. Phillips
Arbitrator(s): Lawrence R. Maxwell, Brandon Gordon Kinney, Veronica Sellers
Hearing Site: Kansas City, MO
| | Expungement |
| 20-03878 | 04/07/2021 | Claimant(s): Intrepid Financial Partners LLC
Claimant Lawyers(s): John Siegal
Respondent(s): Antonio Fernandez
Respondent Lawyers(s): Daniel A. Schnapp
Arbitrator(s): Linda Broocks, Sherry R. Wetsch, Marquita Daniella Green
Hearing Site: Houston, TX
| | |
| 20-01187 | 03/04/2021 | Claimant(s): Therese Fleming, Therese Fleming IRA
Claimant Lawyers(s): Kirk G. Smith
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): Linda Broocks
Arbitrator(s): Daniel J. Pagnano
Hearing Site: Houston, TX
| | Expungement |
| 18-00437 | 06/13/2019 | Claimant(s): Cynthia Beller
Claimant Lawyers(s): James Robert Krause
Respondent(s): Allyn Donaubauer, Raymond, James & Associates.
Respondent Lawyers(s): Linda Broocks
Arbitrator(s): Louis J. Weber, Lawrence Frederick Ranallo, Richard Thomas Huston
Hearing Site: Dallas, TX
| | Expungement |
| 12-03842 | 02/23/2015 | Claimant(s): Estate of John O'Quinn
Claimant Lawyers(s): Cynthia R Levin Moulton
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Linda Broocks
Arbitrator(s): James E. Schlottmann, Robert L. Moran, Eric R. Benton
Hearing Site: Houston, TX
| | Expungement |
