| 21-01682 | 07/06/2022 | Claimant(s): Blair Zimmerman, Blair Zimmerman OBO of his IRA
Claimant Lawyers(s): Blair Zimmerman
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Matthew T. Bohenek
Arbitrator(s): Michael S. Yauch
Hearing Site: Houston, TX
|  | Expungement |
| 21-00762 | 07/05/2022 | Claimant(s): Alfred Nagel, Carol Nagel
Claimant Lawyers(s): Kyle M Kulzer
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Rebecca E. Swenson
Arbitrator(s): Mark L. Williams, Brian James Tagtmeier, Russell Caldwell Ducoff
Hearing Site: Houston, TX
| | Expungement |
| 19-01096 | 06/30/2022 | Claimant(s): Timothy Satre
Claimant Lawyers(s): Mark C. Sparks
Respondent(s): David Dick, David Wilson, Ameriprise Financial Services
Respondent Lawyers(s): Edward A. Walton
Arbitrator(s): Ronald L. Mullins, Robert C. Rice, David Aaron DeSoto
Hearing Site: Houston, TX
| | |
| 20-02843 | 06/30/2022 | Claimant(s): Johnny Walker
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Network 1 Financial Securities Inc.
Respondent Lawyers(s): Timothy Feil
Arbitrator(s): Alan M. Holzberg, Shannon Lyn Mays, Denise Ereka Peterson
Hearing Site: Houston, TX
| | $1,232,770 |
| 20-03856 | 05/05/2022 | Claimant(s): Elise Oren, John Oren
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Rebecca K. Lindahl
Arbitrator(s): Brian James Tagtmeier, David Aaron DeSoto, Nile Bailey Copeland
Hearing Site: Houston, TX
| | $3,862,630 |
| 21-02175 | 04/29/2022 | Claimant(s): Michael Neuenschwander
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): G.F. Investment Services
Respondent Lawyers(s): Larry Yager
Arbitrator(s): Maryanne M. Esser
Hearing Site: Houston, TX
| | |
| 21-02048 | 04/21/2022 | Claimant(s): Guy Clayton
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): W. Preston Martin
Arbitrator(s): Lynne M. Gomez
Hearing Site: Houston, TX
| | |
| 21-01598 | 04/14/2022 | Claimant(s): Christian Bauman, Patrick Mendenhall
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): USCA RIA LLC, USCA Securities LLC
Respondent Lawyers(s): Therese L. Suprenant
Arbitrator(s): Brian James Tagtmeier
Hearing Site: Houston, TX
| | |
| 21-00507 | 04/14/2022 | Claimant(s): Katie Klein, Estate of Roy S. Dale, Dale & Klein Partnership, K&R Family Limited Partnership
Claimant Lawyers(s): William Mount
Respondent(s): Morgan Stanley, J. Bryan Reece, Citigroup Global Markets.
Respondent Lawyers(s): Abigail D. Elrod, Adam M. Kauff
Arbitrator(s): David C. Redford, Stephanie E. Simmons, Cynthia Ann Kittle
Hearing Site: Houston, TX
| | Expungement |
| 20-03742 | 03/29/2022 | Claimant(s): Melanie Meadows
Claimant Lawyers(s): Michael S. Hill
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Lawton R. Graves
Arbitrator(s): G. Maynard Green, Gwendolyn Canady, Demeita M Johnson
Hearing Site: Houston, TX
| | $0 |
