| 17-01426 | 02/19/2019 | Claimant(s): Beatrice Welscher, Craig Welscher, Norma Welscher
Claimant Lawyers(s): Leonard J. Meyer
Respondent(s): Wells Fargo Clearing Services, Richard DeYoung
Respondent Lawyers(s): Edward F. Fernandes
Arbitrator(s): Thomas M. Campbell, Leonard J. Sullivan, Jeff Kilgore
Hearing Site: Houston, TX
|  | $786,600 |
| 12-02742 | 02/14/2014 | Claimant(s): Cheryl Duncan, Robert Duncan, Genesis Today.
Claimant Lawyers(s): Ernest W. Boyd
Respondent(s): William Leighton, Law Office of William Leighton PLLC, Leighton & Brantley PLLC
Respondent Lawyers(s): Michael B. Johnson
Arbitrator(s): David G. Beerbower, Leonard J. Sullivan, Bertrand C. Moser
Hearing Site: Houston, TX
| | $75,000 |
| 11-01699 | 04/04/2012 | Claimant(s): Gerard Fusco
Claimant Lawyers(s): Gerard Fusco
Respondent(s): Ameriprise Financial Services., James Gioia
Respondent Lawyers(s): LaToyia K. Pierce
Arbitrator(s): William M. Lacy, Leonard J. Sullivan, Alan M. Holzberg
Hearing Site: Houston, TX
| | $0 |
| 09-06804 | 07/29/2011 | Claimant(s): Catherine McMichael, Wallact T. and Catherine McMichael Trust
Claimant Lawyers(s): Richard H. Elliott
Respondent(s): Wells Fargo Advisors, Gary Foose
Respondent Lawyers(s): Jack D. Ballard
Arbitrator(s): Ronald R. Simpson, Leonard J. Sullivan, Robert Dan Sherrill
Hearing Site: Houston, TX
| | Expungement |
| 09-03906 | 12/06/2010 | Claimant(s): Patsy Freeman, Patsy Freeman Investment Management Acco
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Kathryn R. Eldridge
Arbitrator(s): Stephen C. Esposito, William M. Lacy, Leonard J. Sullivan
Hearing Site: Nashville, TN
| | $0 |
| 07-02314 | 08/28/2008 | Claimant(s): Susan Key
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Arnold Riley, Debra Mae Stephens, Citigroup Global Markets., Michael Handlin, Ozzie Bauer, Thomas Howard, Financial Network Investment Corp., ING Financial Advisers
Respondent Lawyers(s): Andrew R. Harvin, Greg Moore, Hugo A. Hilgendorff, IV
Arbitrator(s): Leonard J. Sullivan, Jeffrey M. Aboloff, Philip I. McConnell
Hearing Site: Houston, TX
| | Stipulated Award and Expungement |
