18-00177 | 04/08/2019 | Claimant(s): Jeffrey Cox, Samuel Garrido Claimant Lawyers(s): Lars Soreide Respondent(s): LPL Financial LLC, Cetera Investment Services LLC Respondent Lawyers(s): David J. Freniere, Sean T. Needham Arbitrator(s): Daniel J. Pagnano, Charles Leonard Smith, Nick Thomas Hearing Site: Houston, TX
| | Expungement |
18-01421 | 04/01/2019 | Claimant(s): Wendy McDaniel Claimant Lawyers(s): Scott L. Silver Respondent(s): Windsor Street Capital Respondent Lawyers(s): John Stalanski Arbitrator(s): Daniel J. Pagnano Hearing Site: Houston, TX
| | $100,000 |
18-01371 | 02/12/2019 | Claimant(s): Rafael Locken-Testa Claimant Lawyers(s): Dochtor Kennedy Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Joelle A. Simms Arbitrator(s): Daniel J. Pagnano Hearing Site: Houston, TX
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17-01985 | 12/21/2018 | Claimant(s): Sally Reagan Claimant Lawyers(s): Nelson S. Ebaugh Respondent(s): Morgan Stanley, Ganesh Iyer Respondent Lawyers(s): Crystal Robles, Nicholas N. George Arbitrator(s): Daniel J. Pagnano, Christine L. Stetson, Maryanne M. Esser Hearing Site: Houston, TX
| | $54,954 |
18-01791 | 12/17/2018 | Claimant(s): Peter Wright Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Morgan Keegan & Company Respondent Lawyers(s): Brandy Pikus Arbitrator(s): Daniel J. Pagnano Hearing Site: New Orleans, LA
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18-01414 | 08/13/2018 | Claimant(s): Morgan Stanley, Morgan Stanley FA Notes Holdings LLC Claimant Lawyers(s): Joseph A. Cialone Respondent(s): Vicente Davila Respondent Lawyers(s): Vicente Davila Arbitrator(s): Daniel J. Pagnano 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 |
16-00068 | 03/28/2018 | Claimant(s): Glenn Kelley, Kevin Kelley, Timothy Kelley, Succession of Patricia A. Cleary Claimant Lawyers(s): Lance C. McCardle Respondent(s): J.P. Morgan Securities, William Vanlandingham Respondent Lawyers(s): Jeffrey L. Oakes, John W. Hite Arbitrator(s): Daniel J. Pagnano, William Gilbert Faulk, Imre Stephen Szalai Hearing Site: New Orleans, LA
| | Expungement |
16-02280 | 12/26/2017 | Claimant(s): Alfonso Barrera, Ana Barrera, Laura Barrera, Marisa Barrera, Veronica Barrera, West Houston 2 Defined Benefit Plan, West Houston Plastic Surgery Defined Claimant Lawyers(s): Lars K. Soreide Respondent(s): Daniel Kersten, Edith Schoenberger, Eugene Schoenberger, UBS Financial Services Inc., Stephanie Kersten Respondent Lawyers(s): Alise J. Henry, Lars K. Soreide Arbitrator(s): Daniel J. Pagnano, Brian James Tagtmeier, Robert Sullivan Tyler Hearing Site: Houston, TX
| | Expungement |
16-02429 | 05/12/2017 | Claimant(s): Kristopher Whitney Claimant Lawyers(s): Kristopher C. Whitney Respondent(s): NYLife Securities LLC, Carolyn Wagner, Edward Martinez, Jaime Garcia, Nancy Hunt Respondent Lawyers(s): Carolyn Maureen Wagner, Edward O. Martinez, Jaime Eduardo Garcia, Mike G. Brown, Nancy L. Hunt Arbitrator(s): Daniel J. Pagnano, Elena DiIorio, Curtis Jay Meador Hearing Site: Houston, TX
| | Expungement |