| 20-03798 | 03/24/2022 | Claimant(s): B. Bryant, Memorial Rock Investments L.P.
Claimant Lawyers(s): Lance C. Arney
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David L. Goldberg
Arbitrator(s): Daniel J. Pagnano, Elena DiIorio, Bartlett Michael Sheinberg
Hearing Site: Houston, TX
|  | $1,184,210 |
| 21-00450 | 02/24/2022 | Claimant(s): Kevin Knight
Claimant Lawyers(s): Kevin Knight
Respondent(s): Robinhood Financial., Robinhood Securities
Respondent Lawyers(s): Dominick F. Evangelista
Arbitrator(s): Daniel J. Pagnano, Allan R. Lazor, Kevin Colby
Hearing Site: Houston, TX
| | $0 |
| 21-01233 | 02/15/2022 | Claimant(s): Robert Clevenger Jr.
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): G. Maynard Green
Hearing Site: Houston, TX
| | |
| 16-03296 | 02/11/2022 | Claimant(s): Daryl Allen, Frank Hogan, Langston Turner
Claimant Lawyers(s): Rogge Dunn
Respondent(s): Credit Suisse Securities (USA) LLC
Respondent Lawyers(s): Stephen M. Kramarsky
Arbitrator(s): David C. Redford, Michael S. Yauch, Lewis Kenneth Harley
Hearing Site: Houston, TX
| | |
| 21-01551 | 01/18/2022 | Claimant(s): Dwayne Tidwell
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Stanford Group Company
Respondent Lawyers(s): Ralph S. Janvey, Receiver, W. Preston Martin
Arbitrator(s): Lynne M. Gomez, Maurice J. Fallas, William James Smith
Hearing Site: Houston, TX
| | |
| 21-02115 | 01/12/2022 | Claimant(s): John L. Hillhouse
Claimant Lawyers(s): John L. Hillhouse
Respondent(s): Antwan Cork, Ameriprise Financial Services, Victor Israel
Respondent Lawyers(s): Sydney H. Crowder
Arbitrator(s): Brian James Tagtmeier
Hearing Site: Houston, TX
| | $0 |
| 21-00988 | 01/07/2022 | Claimant(s): Bettie Sam, Sidney Sam
Claimant Lawyers(s): Bettie Jean Sam
Respondent(s): Angela Leister, Elias Davis, Erin Minerd, J.P. Morgan Securities, Matthew Simpson, Robert Weiss, Wayne White
Respondent Lawyers(s): Ali I. Haque, Michael A. Gross
Arbitrator(s): Brian James Tagtmeier
Hearing Site: Houston, TX
| | $300 |
| 19-00603 | 12/30/2021 | Claimant(s): Philip Sims, Philip D. Sims IRA
Claimant Lawyers(s): Robert H. Rex
Respondent(s): McNally Financial Services Corporation
Respondent Lawyers(s): Gary S. Kessler
Arbitrator(s): Thomas A. Martin, Jack Chapline Vaughan, Camille Morris Tankersley
Hearing Site: Houston, TX
| | Expungement |
| 20-03445 | 12/22/2021 | Claimant(s): Joel Barton, Suzanne Fisk, Estate of Joel R. Barton Jr.
Claimant Lawyers(s): William J. Garrison
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Robert Putz
Respondent Lawyers(s): Logan S. Fisher
Arbitrator(s): Daniel J. Pagnano, Jeffrey R. Pendergraft, Michael James Barton
Hearing Site: Houston, TX
| | Expungement |
| 20-01175 | 12/16/2021 | Claimant(s): John Palombo
Claimant Lawyers(s): Michelle Atlas
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Rima F. Hartman
Arbitrator(s): G. Maynard Green, Daniel J. Pagnano, Brian James Tagtmeier
Hearing Site: Houston, TX
| | |
