| 18-02895 | 10/16/2019 | Claimant(s): Anne Marie Fargason, Evelyn Chiasson
Claimant Lawyers(s): Frank "Kim" Breese
Respondent(s): Andrew Black, Morgan Stanley & Co.
Respondent Lawyers(s): Timothy B. Atkins
Arbitrator(s): Frank M Romano, Bertrand C. Moser, Allan R. Lazor
Hearing Site: New Orleans, LA
|  | $109,323 |
| 17-02604 | 03/25/2019 | Claimant(s): Kathy Engberg
Claimant Lawyers(s): Kathy Engberg
Respondent(s): Wells Fargo Advisors, Richard Dunagan
Respondent Lawyers(s): T.R. Bynum
Arbitrator(s): Frank M. Romano, Thomas A. Martin, Eric R. Benton
Hearing Site: Houston, TX
| | $0 |
| 16-01087 | 08/21/2017 | Claimant(s): David Hinkle
Claimant Lawyers(s): David Hinkle
Respondent(s): Cantor Fitzgerald & Co.
Respondent Lawyers(s): David A. Paul
Arbitrator(s): Frank M. Romano, Jeffrey M. Aboloff, Mary Esther Escobedo
Hearing Site: Houston, TX
| | |
| 14-01508 | 08/28/2015 | Claimant(s): Charles Doraine
Claimant Lawyers(s): Donald M Feferman
Respondent(s): Kevin Mccracken, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Teri L. Danish
Arbitrator(s): Frank M. Romano, Reginald Harris Brockwell, Julie Marie Miller
Hearing Site: Houston, TX
| | |
| 10-04990 | 05/22/2012 | Claimant(s): CSJ Family Partnership Ltd.
Claimant Lawyers(s): J. Mitchell Clark
Respondent(s): Morgan Stanley & Co., Morgan Stanley DW Inc., Morgan Stanley
Respondent Lawyers(s): Jonathan D. Robbins
Arbitrator(s): Ronald R. Simpson, Frank M. Romano, Donald K. Eckhardt
Hearing Site: Houston, TX
| | $0 |
| 09-02124 | 04/08/2011 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Jack D. Ballard
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): Joseph A. Dougherty
Arbitrator(s): Frank M. Romano, William M. Lacy, Charles S. Chester
Hearing Site: Houston, TX
| | |
| 08-02698 | 08/12/2009 | Claimant(s): Gary Mayes, Estate of Elwin D. Mayes, Gary Brent May
Claimant Lawyers(s): Marnie C. Lambert
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Stacey M. Garrett
Arbitrator(s): Frank M. Romano, Christine Winn Powell, William A. Allen
Hearing Site: Houston, TX
| | $116,000 |
