| 18-01529 | 01/31/2019 | Claimant(s): John McDonough
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): AXA Advisors
Respondent Lawyers(s): Eileen Stassa
Arbitrator(s): Mark C. Watler
Hearing Site: Houston, TX
| | |
| 18-00558 | 01/18/2019 | Claimant(s): Beth Hearn
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Waddell & Reed
Respondent Lawyers(s): Carolyn Browne
Arbitrator(s): Sherry R. Wetsch
Hearing Site: Houston, TX
| | |
| 15-02845 | 01/16/2019 | Claimant(s): Royce Felder
Claimant Lawyers(s): Hilton Wiener
Respondent(s): Ahmad Wares, Anthony Caruso, Christopher Martin, Yvonne Owens, C.K. Cooper & Company.
Respondent Lawyers(s): Ahmad Wares, Alex Montano, Anthony Phillip Caruso, Christopher M. Martin, Yvonne R. Owens
Arbitrator(s): Susan Meek, Brian James Tagtmeier, Robert C. Rice
Hearing Site: Houston, TX
|  | $0 |
| 18-01518 | 01/16/2019 | Claimant(s): John Mercaldi
Claimant Lawyers(s): John Mercaldi
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): James A. Parker
Hearing Site: Houston, TX
| | $0 |
| 18-00629 | 12/24/2018 | Claimant(s): John Shull
Claimant Lawyers(s): John C. Shull
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): Michael S. Yauch
Hearing Site: Houston, TX
| | $0 |
| 17-01985 | 12/21/2018 | Claimant(s): Sally Reagan
Claimant Lawyers(s): Nelson S. Ebaugh
Respondent(s): Morgan Stanley, Ganesh Iyer
Respondent Lawyers(s): Crystal Robles, Nicholas N. George
Arbitrator(s): Daniel J. Pagnano, Christine L. Stetson, Maryanne M. Esser
Hearing Site: Houston, TX
| | $54,954 |
| 17-02783 | 12/07/2018 | Claimant(s): Stephen Shaper
Claimant Lawyers(s): Jennifer Tarr
Respondent(s): Andrew Tressler, Cassandra Woodward, Todd Aitken, Liberty Partners Financial Services
Respondent Lawyers(s): Eric J. Sussman
Arbitrator(s): Dale A. Hearn, Brian James Tagtmeier, Stuart Diamond
Hearing Site: Houston, TX
| | $0 |
| 17-03507 | 11/13/2018 | Claimant(s): Margarita Briggs, Michael Briggs
Claimant Lawyers(s): Kristian Kraszewski
Respondent(s): BOK Financial Securities.
Respondent Lawyers(s): Jared Burden
Arbitrator(s): Sherry R. Wetsch
Hearing Site: Houston, TX
| | $22,072 |
| 18-00979 | 11/07/2018 | Claimant(s): Kelly Kerr
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Sherry R. Wetsch
Hearing Site: Houston, TX
| | |
| 18-00519 | 10/25/2018 | Claimant(s): Iain Sharpe
Claimant Lawyers(s): Matthew B. Henneman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): Raymond C. Kerr
Hearing Site: Houston, TX
| | |
