| 18-01433 | 05/23/2019 | Claimant(s): Mark Moore
Claimant Lawyers(s): Coren H. Stern
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Craig A. Vollono
Arbitrator(s): Brian James Tagtmeier
Hearing Site: Houston, TX
| | |
| 18-03665 | 05/20/2019 | Claimant(s): Lance Roberts
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Wunderlich Securities.
Respondent Lawyers(s): James T. Ritt
Arbitrator(s): Lynne M. Gomez
Hearing Site: Houston, TX
| | |
| 16-02863 | 05/17/2019 | Claimant(s): Mark E. Viator IRA
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Fred N. Knopf
Arbitrator(s): Raymond C. Kerr, David C. Redford, Allan R. Lazor
Hearing Site: Houston, TX
|  | $0 |
| 18-01545 | 05/13/2019 | Claimant(s): John Carolyn
Claimant Lawyers(s): Alise Johnson Henry
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Maria Paz Chacon
Arbitrator(s): Daniel J. Pagnano
Hearing Site: Houston, TX
| | |
| 18-00112 | 04/24/2019 | Claimant(s): Jeffrey Cox, Samuel Garrido
Claimant Lawyers(s): Lars Soreide
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Nicholas N. George
Arbitrator(s): Christine L. Stetson, Maryanne M. Esser, Shannon Lyn Mays
Hearing Site: Houston, TX
| | Expungement |
| 16-03743 | 04/22/2019 | Claimant(s): Aileen Vidaud, Alexander Travieso, Amanda Fly, Barbara Edge, Dana Cooper, Donnella Tyler, Edward Fly, James Reynolds, Leila Reynolds, Lina Gibbs, Lynn Gibbs, Michael Edge, Patricia McDaniel, Robert Cooper, Robert Tyler, Shirley Jones, Trent McDaniel, William Vidaud, Estate of J. Michelle Edge, Aileen Vidaud IRA, et al
Claimant Lawyers(s): David W. Miller
Respondent(s): David Williams, Wilson Williams
Respondent Lawyers(s): Dena L. Mathis
Arbitrator(s): Bertrand C. Moser, Stephen James Cavanaugh, Camille Morris Tankersley
Hearing Site: Houston, TX
| | $358,387 |
| 17-00611 | 04/15/2019 | Claimant(s): Neal Carlson
Claimant Lawyers(s): Leonard J. Meyer
Respondent(s): Credit Suisse Securities (USA) LLC
Respondent Lawyers(s): David J. Clark
Arbitrator(s): Brian James Tagtmeier, Gary Jason Fischman, R. Michelle Boldon
Hearing Site: Houston, TX
| | |
| 18-02819 | 04/08/2019 | Claimant(s): Eric Dupre
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc., Raymond, James & Associates.
Respondent Lawyers(s): Joelle Simms, Stanton Fears
Arbitrator(s): Lynne M. Gomez
Hearing Site: Houston, TX
| | |
| 18-00177 | 04/08/2019 | Claimant(s): Jeffrey Cox, Samuel Garrido
Claimant Lawyers(s): Lars Soreide
Respondent(s): LPL Financial LLC, Cetera Investment Services LLC
Respondent Lawyers(s): David J. Freniere, Sean T. Needham
Arbitrator(s): Daniel J. Pagnano, Charles Leonard Smith, Nick Thomas
Hearing Site: Houston, TX
| | Expungement |
| 18-02543 | 04/05/2019 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Brandon K. Hemley
Respondent(s): Joseph Talafous
Respondent Lawyers(s): Joseph A Talafous
Arbitrator(s): Michael Louis Goldstone
Hearing Site: Houston, TX
| | $0 |
