| 19-03809 | 05/27/2021 | Claimant(s): Gerardo Brauer, Reyna Reichert
Claimant Lawyers(s): Gerardo Brauer
Respondent(s): John McDermott, UBS Financial Services Inc., Paul Campbell, Robert McCann
Respondent Lawyers(s): Anthony J. Borrelli
Arbitrator(s): Thomas A. Cipolla, G. Maynard Green, Robin Pacholder
Hearing Site: Houston, TX
|  | $0 |
| 20-02567 | 05/20/2021 | Claimant(s): Justin Montandon
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Ameriprise Financial Services
Respondent Lawyers(s): Howard Klausemeier
Arbitrator(s): Daniel J. Pagnano
Hearing Site: Houston, TX
| | |
| 20-00456 | 05/11/2021 | Claimant(s): Estate of Charles Hunter Montgomery, Dec, The Montgomery Children's 1998 Trust
Claimant Lawyers(s): William Fred Hagans
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Jeremy S. Winer
Arbitrator(s): Thomas A. Martin, Michael Hendryx, Jonathan Charles Day
Hearing Site: Houston, TX
| | $172,813 |
| 20-02926 | 05/06/2021 | Claimant(s): Joseph Quartucci
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): National Planning Corporation
Respondent Lawyers(s): Eric A. Michaels
Arbitrator(s): Lynne M. Gomez
Hearing Site: Houston, TX
| | |
| 20-03443 | 05/06/2021 | Claimant(s): Roger Engemoen
Claimant Lawyers(s): Jessica J. Mannon
Respondent(s): Samco Capital Markets.
Respondent Lawyers(s): Joel B. Bailey
Arbitrator(s): Lynne M. Gomez
Hearing Site: Houston, TX
| | |
| 20-00401 | 05/05/2021 | Claimant(s): Joanne Olson
Claimant Lawyers(s): Kirk G. Smith
Respondent(s): Wells Fargo Advisors Financial Network
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): Jack Chapline Vaughan, Daniel D. Hill, Robert C. Rice
Hearing Site: Houston, TX
| | Expungement |
| 20-01621 | 04/26/2021 | Claimant(s): Patrick Peterson
Claimant Lawyers(s): Kristian Kraszewski
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): James A. Parker
Hearing Site: Houston, TX
| | Expungement |
| 20-04161 | 04/20/2021 | Claimant(s): Xiaohan Qin
Claimant Lawyers(s): Xiaohan Qin
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): James A. Parker
Hearing Site: Houston, TX
| | $87 |
| 18-03355 | 04/09/2021 | Claimant(s): Jeffrey Houston
Claimant Lawyers(s): Kell A. Simon
Respondent(s): Navidar Group LLC, Navidar Holdco LLC, Navidar LLC
Respondent Lawyers(s): Eric Lipper
Arbitrator(s): Mark C Watler, Patricia Fenix Bastine, Nohayia Javed
Hearing Site: Houston, TX
| | |
| 20-03878 | 04/07/2021 | Claimant(s): Intrepid Financial Partners LLC
Claimant Lawyers(s): John Siegal
Respondent(s): Antonio Fernandez
Respondent Lawyers(s): Daniel A. Schnapp
Arbitrator(s): Linda Broocks, Sherry R. Wetsch, Marquita Daniella Green
Hearing Site: Houston, TX
| | |
