| 14-00793 | 04/01/2015 | Claimant(s): Armin Jezari
Claimant Lawyers(s): Nelson S. Ebaugh
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John E. Bersin
Arbitrator(s): Sherry R. Wetsch, Joshua D. Wallach, Michael Louis Goldstone
Hearing Site: Houston, TX
|  | $0 |
| 11-02864 | 10/02/2012 | Claimant(s): Janie Orr, John Orr
Claimant Lawyers(s): Robert D. O'Conor
Respondent(s): Wells Fargo Advisors, Perry Lyons
Respondent Lawyers(s): Michael A. Rodriguez
Arbitrator(s): Philip I. McConnell, Jack Chapline Vaughan, Joshua D. Wallach
Hearing Site: Houston, TX
| | Expungement |
| 09-04485 | 12/08/2010 | Claimant(s): Beverly Ginn, Russell Ginn, CVWT, LLP, Ginnwey Investments
Claimant Lawyers(s): Timothy M. McDaniel
Respondent(s): Alliance Bernstein, Bernstein Global Wealth Management, Sanford C. Bernstein & Co.
Respondent Lawyers(s): Sean M. Murphy
Arbitrator(s): Raymond C. Kerr, Joshua D. Wallach, Deirdre Renee Fuller
Hearing Site: Houston, TX
| | $200,000 |
| 09-03119 | 09/27/2010 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Erin E. MacAvoy
Respondent(s): Andrea Smith
Respondent Lawyers(s): Steven C. Earl
Arbitrator(s): Eli Bensky, Joshua D. Wallach, Ross D. Friend
Hearing Site: Houston, TX
| | |
| 08-04070 | 08/06/2010 | Claimant(s): East Tennessee Neurology P.C. Profit
Claimant Lawyers(s): Brian N. Smiley
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Stuart D. Roberts
Arbitrator(s): Joshua D. Wallach, Kenneth M. Jackson, Elton W. Chartrand
Hearing Site: Nashville, TN
| | $484,357 |
| 09-02561 | 03/05/2010 | Claimant(s): Rose Weisz
Claimant Lawyers(s): Robert E. Goodman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Paul D. Flack
Arbitrator(s): Joshua D. Wallach, Larry J. Craddock, Brian James Tagtmeier
Hearing Site: Houston, TX
| | $0 |
| 06-04739 | 01/30/2008 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Douglas D. Callaway
Respondent(s): Larry Margozewitz
Respondent Lawyers(s): Larry R. Margozewitz
Arbitrator(s): Thomas H. Griffin, Joshua D. Wallach, Leslie Bernard Jallans
Hearing Site: Houston, TX
| | |
| 07-00450 | 11/16/2007 | Claimant(s): Citigroup Global Markets., Citigroup Global Markets Holdings
Claimant Lawyers(s): W. Jerad Rissler
Respondent(s): James Bell
Respondent Lawyers(s): Walter Jefferson
Arbitrator(s): Thomas A. Martin, Bertrand C. Moser, Joshua D. Wallach
Hearing Site: Houston, TX
| | |
