| 21-02663 | 07/20/2022 | Claimant(s): Daniel Mercer
Claimant Lawyers(s): Daniel Aaron Mercer
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): Laura T. Ruiz Rivera
Arbitrator(s): Stephen T. Johnson, Brian James Tagtmeier, Katherine Parsley
Hearing Site: Houston, TX
| | |
| 15-03034 | 01/09/2018 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Jeffrey M. Csercsevits
Respondent(s): Michael Hopper
Respondent Lawyers(s): Michael Hopper
Arbitrator(s): Thomas A. Martin, Bertrand C. Moser, Stephen T. Johnson
Hearing Site: Houston, TX
| | |
| 14-03365 | 02/08/2016 | Claimant(s): Dennis & Ninfa Fettin
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Brian C. Hale
Arbitrator(s): Daniel J. Pagnano, Stephen T. Johnson, Susan Meek
Hearing Site: Houston, TX
|  | Expungement |
| 10-05818 | 04/18/2012 | Claimant(s): Robert Higley
Claimant Lawyers(s): Earnest W. Wotring
Respondent(s): James Bashaw, JEB NEWCO, L.L.C., James E. Bashaw & Co.
Respondent Lawyers(s): David E. Wynne
Arbitrator(s): David G. Beerbower, Jack Chapline Vaughan, Stephen T. Johnson
Hearing Site: Houston, TX
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