| 20-01127 | 10/12/2020 | Claimant(s): Dustin Elliott
Claimant Lawyers(s): Zachary Hayes-Macaluso
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): G. Maynard Green
Hearing Site: Houston, TX
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| 20-00354 | 10/01/2020 | Claimant(s): Michael Sullivan
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Geoff Beckham
Arbitrator(s): Sherry R. Wetsch
Hearing Site: Houston, TX
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| 20-01159 | 07/29/2020 | Claimant(s): UBS Financial Services Inc., UBS Credit Corp.
Claimant Lawyers(s): Patrick J. Bradley
Respondent(s): Roger Graham
Respondent Lawyers(s): Roger Ainsworth Graham
Arbitrator(s): Michael Louis Goldstone
Hearing Site: Houston, TX
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| 19-03758 | 07/24/2020 | Claimant(s): Dax McCraken
Claimant Lawyers(s): Joelle A Simms
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Stuart Rebish
Arbitrator(s): Brian James Tagtmeier
Hearing Site: Houston, TX
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| 19-03802 | 06/26/2020 | Claimant(s): Nicholas Erwin
Claimant Lawyers(s): Therese L. Surprenant
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Paul D. Flack
Arbitrator(s): Thomas A. Martin
Hearing Site: Houston, TX
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| 20-00211 | 06/08/2020 | Claimant(s): FSC Securities Corporation
Claimant Lawyers(s): Gregory M. Curley
Respondent(s): David Hergert
Respondent Lawyers(s): Charles H. Peckham
Arbitrator(s): Jude A Smith
Hearing Site: Houston, TX
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| 18-04203 | 06/04/2020 | Claimant(s): Rick McKinney, RDRJ
Claimant Lawyers(s): Joseph H. Bocock
Respondent(s): National Securities Corporation, Stuart Updegrove
Respondent Lawyers(s): Fred Knopf
Arbitrator(s): James A. Parker, Stephen James Cavanaugh, G. Dennis Sheehan
Hearing Site: Houston, TX
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| 19-00021 | 05/14/2020 | Claimant(s): Earnest Frederick, Timothy Moeller
Claimant Lawyers(s): Samuel B. Edwards
Respondent(s): LPL Financial LLC, First National Bank of Shiner
Respondent Lawyers(s): Jack D. Ballard
Arbitrator(s): Mary Esther Escobedo, Montie G. Grimes, Shannon Lyn Mays
Hearing Site: Houston, TX
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| 20-00056 | 05/04/2020 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Theodore R. Bynum
Respondent(s): Timothy Murphy
Respondent Lawyers(s): Timothy Matthew Murphy
Arbitrator(s): G. Maynard Green
Hearing Site: Houston, TX
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| 19-02767 | 04/17/2020 | Claimant(s): Bradley Bowman
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Cetera Investment Services LLC
Respondent Lawyers(s): David Feldstein
Arbitrator(s): Lynne M. Gomez
Hearing Site: Houston, TX
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