| 20-02554 | 03/15/2021 | Claimant(s): Becky Mathre
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Royal Alliance Associates.
Respondent Lawyers(s): James V. Noblett
Arbitrator(s): Lynne M. Gomez
Hearing Site: Houston, TX
| | |
| 19-03356 | 03/12/2021 | Claimant(s): Eugenio Sanchez, Gloria Nunez de Landavazo, Humberto Peniche, Jessica Sordo, Lorenia Bustamante-Ibarra, Pablo Hernandez, Salvador Garcia-Ledesma, Elden LTD
Claimant Lawyers(s): Michael J. Stanley
Respondent(s): Pershing LLC
Respondent Lawyers(s): Jeffrey J. Chapman
Arbitrator(s): Allan R. Lazor, Joshua Charles Nelson-Archer, Denise Ereka Peterson
Hearing Site: Houston, TX
|  | $750 |
| 20-02900 | 03/11/2021 | Claimant(s): Christopher Larochelle
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): First Allied Securities.
Respondent Lawyers(s): David Feldstein
Arbitrator(s): Lynne M. Gomez
Hearing Site: Houston, TX
| | |
| 19-02368 | 03/05/2021 | Claimant(s): Daniel Dillard
Claimant Lawyers(s): Bogdan Rentea
Respondent(s): Sagepoint Financial.
Respondent Lawyers(s): Will S. Montgomery
Arbitrator(s): Carlton A. Butler, Michael S. Yauch, Mark Ritchie
Hearing Site: Houston, TX
| | |
| 20-01187 | 03/04/2021 | Claimant(s): Therese Fleming, Therese Fleming IRA
Claimant Lawyers(s): Kirk G. Smith
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): Linda Broocks
Arbitrator(s): Daniel J. Pagnano
Hearing Site: Houston, TX
| | Expungement |
| 18-02661 | 02/12/2021 | Claimant(s): Louis Maryland, Louis Maryland Trust Estate, Louis Maryland Sec. 142 Trust
Claimant Lawyers(s): Craig K. Hemphill
Respondent(s): Julia Klammer, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Evan Way
Arbitrator(s): Daniel J. Pagnano, William Walter Cathriner, Tracie Jackson
Hearing Site: Houston, TX
| | Expungement |
| 20-01479 | 02/04/2021 | Claimant(s): Howard Lorch, Patricia Bonnot
Claimant Lawyers(s): Steven J. Berry
Respondent(s): Prudential Equity Group, Wells Fargo Clearing Services
Respondent Lawyers(s): Geoff Beckham Esq., Jennifer E. Novoselsky
Arbitrator(s): G. Maynard Green
Hearing Site: Houston, TX
| | |
| 19-00731 | 02/02/2021 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Matthew B Henneman
Respondent(s): Amad Owidi
Respondent Lawyers(s): Stephany D. McLaughlin
Arbitrator(s): John F. Hinrichs, Lynne M. Gomez, Allan R. Lazor
Hearing Site: Houston, TX
| | |
| 19-01232 | 02/02/2021 | Claimant(s): Monte G'Sell, Monte Land G'Sell Revocable Living Trust
Claimant Lawyers(s): Nelson S. Ebaugh
Respondent(s): Thomas Badgett, TradingBlock
Respondent Lawyers(s): Martin Schexnayder
Arbitrator(s): Sherry R. Wetsch, Maryanne M. Esser, Thomas Deon Warner
Hearing Site: Houston, TX
| | $147,642 |
| 20-00437 | 01/25/2021 | Claimant(s): Kyle Sadler
Claimant Lawyers(s): Kyle Andrew Sadler
Respondent(s): Cambridge Investment Research.
Respondent Lawyers(s): Richard Kuhlman
Arbitrator(s): Oren L. Connaway, Danielle L. Hargrove, G. Dennis Sheehan
Hearing Site: Houston, TX
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