| 19-02638 | 03/19/2021 | Claimant(s): Vivienne Werner
Claimant Lawyers(s): Marium Siddiqui
Respondent(s): Strategic Advisory Services LLC
Respondent Lawyers(s): Martin S. Schexnayder
Arbitrator(s): Daniel J. Pagnano, Marlene Montesinos, Tracie Jackson
Hearing Site: Houston, TX
|  | $0 |
| 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 |
| 18-02661 | 02/12/2021 | Claimant(s): Louis Maryland, Louis Maryland Trust Estate, Louis Maryland Sec. 142 Trust
Claimant Lawyers(s): Craig K. Hemphill
Respondent(s): Julia Klammer, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Evan Way
Arbitrator(s): Daniel J. Pagnano, William Walter Cathriner, Tracie Jackson
Hearing Site: Houston, TX
| | Expungement |
| 19-03709 | 08/19/2020 | Claimant(s): Steven Johnson
Claimant Lawyers(s): Tosh D Grebenik
Respondent(s): Avantax Investment Services.
Respondent Lawyers(s): Eric J. Chartan
Arbitrator(s): Daniel J. Pagnano
Hearing Site: New Orleans, LA
| | |
| 18-02961 | 03/05/2020 | Claimant(s): Charles Carson
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jacqueline R. Meyers
Arbitrator(s): G. Maynard Green, Daniel J. Pagnano, Wayne Reid Nelson
Hearing Site: Houston, TX
| | Dismissed by Rule 12206/12504 |
| 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
| | |
| 18-03544 | 11/26/2019 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Jack D. Ballard
Respondent(s): Wendell Stewart
Respondent Lawyers(s): P. Jacob Paschal
Arbitrator(s): Daniel J. Pagnano
Hearing Site: Houston, TX
| | |
| 19-00881 | 10/15/2019 | Claimant(s): Jeremy Lott
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): Michael S. Lamont
Arbitrator(s): Daniel J. Pagnano
Hearing Site: Oklahoma City, OK
| | |
| 17-00698 | 07/01/2019 | Claimant(s): Charlene Gates, Succession of Richard Gates
Claimant Lawyers(s): Jessica Vasquez
Respondent(s): Irvin Schorsch, Pennsylvania Capital Management
Respondent Lawyers(s): Brian A. Carlis
Arbitrator(s): Mark A. Myers, Barbara L. Edin, Daniel J. Pagnano
Hearing Site: New Orleans, LA
| | $0 |
| 18-01545 | 05/13/2019 | Claimant(s): John Carolyn
Claimant Lawyers(s): Alise Johnson Henry
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Maria Paz Chacon
Arbitrator(s): Daniel J. Pagnano
Hearing Site: Houston, TX
| | |
