| 18-01093 | 08/17/2018 | Claimant(s): Waddell & Reed
Claimant Lawyers(s): Shannon M. Wheaton
Respondent(s): James Groh
Respondent Lawyers(s): James Colin Groh
Arbitrator(s): Bertrand C. Moser
Hearing Site: Houston, TX
| | |
| 18-01414 | 08/13/2018 | Claimant(s): Morgan Stanley, Morgan Stanley FA Notes Holdings LLC
Claimant Lawyers(s): Joseph A. Cialone
Respondent(s): Vicente Davila
Respondent Lawyers(s): Vicente Davila
Arbitrator(s): Daniel J. Pagnano
Hearing Site: Houston, TX
| | |
| 17-03069 | 07/05/2018 | Claimant(s): Eli Garza
Claimant Lawyers(s): Scott L. Silver
Respondent(s): Mark Plummer, Texas E&P Partners.
Respondent Lawyers(s): Mark Allan Plummer, Mark Plummer
Arbitrator(s): William R. Jonson
Hearing Site: Houston, TX
|  | $1,521,300 |
| 16-00647 | 05/25/2018 | Claimant(s): John Barry Glenn, Nancy P. Glenn
Claimant Lawyers(s): Jason T. Albin
Respondent(s): Morgan Stanley, RBC Capital Markets LLC, Robert Dennison
Respondent Lawyers(s): John P. Kincade, Kimberly J. Gustafson
Arbitrator(s): Richard F. Dole, Malcolm Edwin Whittaker, Michael S. Yauch
Hearing Site: Houston, TX
| | Expungement |
| 17-01188 | 05/15/2018 | Claimant(s): Peggy Batson, The Estate of Evelyn C. Batson, Peggy L. Batson on behalf of her IRA
Claimant Lawyers(s): Mark A. Tepper
Respondent(s): First Kentucky Securities Corporation
Respondent Lawyers(s): Richard S. Frankowski
Arbitrator(s): Brian James Tagtmeier, Chermaine Nkomo, Daniel L. Fulkerson
Hearing Site: Houston, TX
| | $35,000 |
| 15-03228 | 04/24/2018 | Claimant(s): Interactive Brokers LLC
Claimant Lawyers(s): David Luger
Respondent(s): Huzaifa Husain
Respondent Lawyers(s): Huzaifa Husain
Arbitrator(s): Malcolm Edwin Whittaker, Mary Esther Escobedo, Julie Marie Miller
Hearing Site: Houston, TX
| | $0 |
| 17-02725 | 04/12/2018 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Jack D. Ballard
Respondent(s): Quan Luu
Respondent Lawyers(s): Quan The Luu
Arbitrator(s): James A. Parker
Hearing Site: Houston, TX
| | |
| 17-01803 | 04/09/2018 | Claimant(s): Bryan Kaarlsen
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC, Next Financial Group.
Respondent Lawyers(s): John T. Unger, Jon D. Kaplon
Arbitrator(s): Allan R. Lazor
Hearing Site: Houston, TX
| | |
| 17-02727 | 04/03/2018 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Jack D. Ballard
Respondent(s): Anthony Bui
Respondent Lawyers(s): Anthony Thuy Bui
Arbitrator(s):
Hearing Site: Houston, TX
| | |
| 16-01663 | 03/30/2018 | Claimant(s): Fionnuala Stockton, Joseph Stockton, JFS Ventures Ltd.
Claimant Lawyers(s): Edward H. Glenn
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Alise J. Henry
Arbitrator(s): Daniel J. Pagnano, Allan R. Lazor, Jonathan Charles Day
Hearing Site: Houston, TX
| | Expungement |
