18-00697 | 10/19/2018 | Claimant(s): Michael Sullivan Claimant Lawyers(s): Dochtor Kennedy Respondent(s): A. G. Edwards & Sons., Wells Fargo Clearing Services Respondent Lawyers(s): Michael Naccarato Arbitrator(s): Frank M. Romano Hearing Site: Houston, TX
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17-00756 | 10/02/2018 | Claimant(s): David Morin Claimant Lawyers(s): Jonathan E. Neuman Respondent(s): Windsor Street Capital Respondent Lawyers(s): John Stalanski, CCO Arbitrator(s): R. Lee Britton Jr., Montie G. Grimes, Jonathan Charles Day Hearing Site: Houston, TX
| | $287,186 |
18-00520 | 09/27/2018 | Claimant(s): Iain Sharpe Claimant Lawyers(s): Matthew B. Henneman Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Sarah Yates Arbitrator(s): Lynne M. Gomez Hearing Site: Houston, TX
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18-01543 | 09/24/2018 | Claimant(s): John Carolyn Claimant Lawyers(s): Alise Johnson Henry Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Craig A. Vollono Arbitrator(s): Sherry R. Wetsch Hearing Site: Houston, TX
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18-02122 | 09/21/2018 | Claimant(s): Morgan Stanley, Morgan Stanley FA Notes Holdings LLC Claimant Lawyers(s): Joseph A. Cialone Respondent(s): Phillip Schreiner Respondent Lawyers(s): Phillip Albert Schreiner Arbitrator(s): Lynne M. Gomez Hearing Site: Houston, TX
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17-02579 | 09/05/2018 | Claimant(s): Charles Schwab & Co.. Claimant Lawyers(s): Michael R. Greco Respondent(s): Christopher Bingham Respondent Lawyers(s): Jeremy Sloan Arbitrator(s): Michael S. Yauch Hearing Site: Houston, TX
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17-01933 | 08/31/2018 | Claimant(s): Applied Medical Research Inc. Claimant Lawyers(s): Jonathan E. Neuman Respondent(s): USAA Financial Advisors. Respondent Lawyers(s): Theodre C. Schultz Arbitrator(s): Michael S. Yauch Hearing Site: Houston, TX
| | $0 |
18-01111 | 08/30/2018 | Claimant(s): Michael Rudelson Claimant Lawyers(s): Cynthia Moulton Respondent(s): Kestra Investment Services Respondent Lawyers(s): Lydia R. Zaidman Arbitrator(s): Jeff Kilgore Hearing Site: Houston, TX
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18-00522 | 08/30/2018 | Claimant(s): Edwin B. and Ellen L. Smith Irrevocable Claimant Lawyers(s): Stephen Smith Respondent(s): James Wheaton, Krishna Rani Jeffries, Fidelity Brokerage Services LLC Respondent Lawyers(s): Noah D. Sorkin Arbitrator(s): Frank M. Romano Hearing Site: Houston, TX
| | $0 |
17-01257 | 08/22/2018 | Claimant(s): Raul Mendez Claimant Lawyers(s): W. Fulton Broemer Respondent(s): LPL Financial LLC Respondent Lawyers(s): Thomas F. Barnett Arbitrator(s): R. Lee Britton Jr. Hearing Site: Houston, TX
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