| 24-01631 | 11/29/2024 | Claimant(s): Rafael Friederichsen
Claimant Lawyers(s): Rafael A. Friederichsen
Respondent(s): BBVA Securities Inc.
Respondent Lawyers(s): John O. Lukanski
Arbitrator(s): David Aaron DeSoto, John Ryan, Harry Tharp
Hearing Site: Houston, TX
| | |
| 22-01627 | 11/19/2024 | Claimant(s): Scott Branson
Claimant Lawyers(s): Scott Lake Branson
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Donald R. Littlefield
Arbitrator(s): Stephanie E. Simmons, Monica Moya, Cary Valden Sorensen
Hearing Site: Houston, TX
| | |
| 24-00283 | 10/21/2024 | Claimant(s): Brian Bova
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Cabot Lodge Securities LLC
Respondent Lawyers(s): James Baehr
Arbitrator(s): Sherry R. Wetsch
Hearing Site: Houston, TX
| | |
| 23-01792 | 10/18/2024 | Claimant(s): Willard Holgate, Willard G. Holdgate SEP IRA, Willard G. Holgate IRA
Claimant Lawyers(s): Samuel Edwards
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Donald R. Littlefield
Arbitrator(s): Elena Dilorio, Phyllis Ann Diamond, Temitope Oluyomi Popoola
Hearing Site: Houston, TX
|  | $106,468 |
| 22-02026 | 09/30/2024 | Claimant(s): Carol Chaney, E. Chaney, Chaney Family Partnership, Ltd.
Claimant Lawyers(s): Jeffrey B. Kaplan
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Anthony J. Borrelli
Arbitrator(s): Andrea Joan Douglas, Allan R. Lazor, Joshua Charles Nelson-Archer
Hearing Site: Houston, TX
| | Expungement |
| 22-01026 | 09/18/2024 | Claimant(s): Craig Severin
Claimant Lawyers(s): Craig Alan Severin
Respondent(s): Wesley Garner
Respondent Lawyers(s): Donna K. McElroy
Arbitrator(s): Daniel J. Pagnano, Brian James Tagtmeier, Francis Joseph Bourgeois
Hearing Site: Houston, TX
| | |
| 23-02519 | 09/13/2024 | Claimant(s): William Harrison
Claimant Lawyers(s): William H. Harrison
Respondent(s): Lightspeed Financial Services Group LLC
Respondent Lawyers(s): James L. Kopecky
Arbitrator(s): Eric R. Benton
Hearing Site: Houston, TX
| | $0 |
| 24-00986 | 09/06/2024 | Claimant(s): Christopher Smith
Claimant Lawyers(s): Christopher Smith
Respondent(s): Moomoo Financial Inc.
Respondent Lawyers(s): Cameron S. Matheson
Arbitrator(s): Brian James Tagtmeier
Hearing Site: Houston, TX
| | $4,684 |
| 23-00270 | 09/06/2024 | Claimant(s): Hollis Kazmann, Thomas Walters
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Jacqueline R. Fox, Jeff Kilgore, James Douglas Gaughan
Hearing Site: Houston, TX
| | Expungement |
| 23-03262 | 09/04/2024 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Michael R. Greco
Respondent(s): Bryan Hicks
Respondent Lawyers(s): Paul D. Flack
Arbitrator(s): Brian James Tagtmeier
Hearing Site: Houston, TX
| | |
