| 19-02550 | 09/15/2021 | Claimant(s): Harriet Ferber 2012 Family Trust
Claimant Lawyers(s): Jacob H. Zamansky
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Patrick M. Smith
Arbitrator(s): Samuel Olutola Akeju, G. Dennis Sheehan, William James Smith
Hearing Site: Houston, TX
|  | $358,131 |
| 20-03151 | 09/14/2021 | Claimant(s): Matthew West
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): USCA RIA LLC, USCA Securities LLC
Respondent Lawyers(s): Therese L. Surprenant
Arbitrator(s): Lynne M. Gomez
Hearing Site: Houston, TX
| | |
| 21-01544 | 09/14/2021 | Claimant(s): LPL Financial LLC
Claimant Lawyers(s): John W. Joyce
Respondent(s): Cesar Olivares
Respondent Lawyers(s): Cesar Emilio Olivares
Arbitrator(s): Michael S. Yauch
Hearing Site: Houston, TX
| | |
| 21-00319 | 09/08/2021 | Claimant(s): Richard Kaplan
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Legacy Asset Securities.
Respondent Lawyers(s): Joseph R. Birkofer
Arbitrator(s): Sherry R. Wetsch
Hearing Site: Houston, TX
| | |
| 19-02940 | 08/30/2021 | Claimant(s): Mark Sitter
Claimant Lawyers(s): Esther Treneer
Respondent(s): Calton & Associates., Capital Financial Services.
Respondent Lawyers(s): Gordon Dihle, Martin S. Schexnayder
Arbitrator(s): James Wallace Boeckman, Stephanie E. Simmons, Curtis Jay Meador
Hearing Site: Houston, TX
| | |
| 21-00325 | 08/24/2021 | Claimant(s): Kelly Chimera
Claimant Lawyers(s): Steven J. Berry
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Jeff Palmer
Arbitrator(s): Lynne M. Gomez
Hearing Site: Houston, TX
| | |
| 20-01181 | 08/20/2021 | Claimant(s): Brandon Dabdoub, McKenzee Dabdoub
Claimant Lawyers(s): Lance C. Arney
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Jeffery D. Rodgers
Arbitrator(s): Thomas A. Martin, G. Maynard Green, Andrea Joan Douglas
Hearing Site: Houston, TX
| | Expungement |
| 20-04174 | 08/16/2021 | Claimant(s): Christopher Hamm
Claimant Lawyers(s): Brian Luther
Respondent(s): Advantage Capital Corporation
Respondent Lawyers(s): Helen Prater
Arbitrator(s): Allan R. Lazor
Hearing Site: Houston, TX
| | |
| 21-00863 | 08/12/2021 | Claimant(s): Michael Rudelson
Claimant Lawyers(s): Cynthia R Moulton
Respondent(s): Kestra Investment Services
Respondent Lawyers(s): Shawn Shook
Arbitrator(s): Lynne M. Gomez
Hearing Site: Houston, TX
| | |
| 20-00633 | 08/09/2021 | Claimant(s): Thomas Archer
Claimant Lawyers(s): Leonard J. Meyer
Respondent(s): Voya Financial Advisors.
Respondent Lawyers(s): Martin S. Schexnayder
Arbitrator(s): Elena DiIorio, Jonathan Charles Day, Bill Ray Haley
Hearing Site: Houston, TX
| | |
