| 17-00116 | 12/14/2017 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Jack D. Ballard
Respondent(s): Justin Ward
Respondent Lawyers(s): Justin Garrett Ward
Arbitrator(s): Eric R. Benton
Hearing Site: Houston, TX
| | |
| 17-01183 | 11/29/2017 | Claimant(s): StartEngine Capital LLC
Claimant Lawyers(s): Mary Frances Knight
Respondent(s): Christopher Dewey
Respondent Lawyers(s): Andrew Dewey
Arbitrator(s): Sherry R. Wetsch
Hearing Site: Houston, TX
| | |
| 16-03332 | 11/29/2017 | Claimant(s): Steven Pritchard
Claimant Lawyers(s): Richard A Lewins
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Joelle A. Simms
Arbitrator(s): William A. Allen, Royal B. Lea, Brian James Tagtmeier
Hearing Site: Houston, TX
|  | Expungement |
| 15-02136 | 11/20/2017 | Claimant(s): Trust No. 911 A/KA Banco Invex S.A
Claimant Lawyers(s): Brian Levin
Respondent(s): Deutsche Bank Securities.
Respondent Lawyers(s): Mark L. Parmelee
Arbitrator(s): Mary Ann Tunick, Donald K. Eckhardt, Robert Alan Meyer
Hearing Site: Houston, TX
| | Expungement |
| 17-02195 | 11/17/2017 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Jeffrey M. Csercsevits
Respondent(s): Michael Grisaffi
Respondent Lawyers(s): Michael Anthony Grisaffi
Arbitrator(s): Maryanne M. Esser
Hearing Site: Houston, TX
| | |
| 17-00068 | 11/07/2017 | Claimant(s): Christopher Haydon, Joan Haydon
Claimant Lawyers(s): David Miller
Respondent(s): Royal Alliance Associates.
Respondent Lawyers(s): Martin Schexnayder
Arbitrator(s): Donald K. Eckhardt, Pamela Marcell Carroll, James A. Crouch
Hearing Site: Houston, TX
| | $280,751 |
| 16-01800 | 11/01/2017 | Claimant(s): Jeffrey Rombs IRA, Kathrine Driscoll IRA, Michael Rombs IRA, Ralph Auguillard IRA, Reginald Bardin IRA, Ronnie Rombs IRA, Stephen Driscoll IRA, Van Russell IRA
Claimant Lawyers(s): Gary Menzer
Respondent(s): Christopher Gammon, Jackie Wadsworth, Joshua Patterson, Michael Spears, Stacey Rognon, IMS Securities.
Respondent Lawyers(s): Martin Schexnayder
Arbitrator(s): Jeffrey R. Jury, Stephen James Cavanaugh, Brian James Tagtmeier
Hearing Site: Houston, TX
| | $2,304,540 |
| 16-01339 | 10/24/2017 | Claimant(s): James Bashaw, Jeb & Co.
Claimant Lawyers(s): David B. Cosgrove
Respondent(s): LPL Financial LLC, Mark Casady
Respondent Lawyers(s): Rodney Acker
Arbitrator(s): Peter Benz Dickens, Alan M. Holzberg, Brian James Tagtmeier
Hearing Site: Houston, TX
| | |
| 17-01771 | 09/21/2017 | Claimant(s): Farhood Kasiri
Claimant Lawyers(s): David Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Craig A. Vollono
Arbitrator(s): Brian James Tagtmeier
Hearing Site: Houston, TX
| | |
| 17-00296 | 09/19/2017 | Claimant(s): Waddell Jeffries
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Anthony Fusco, Frank Fusco, Salvatore Caruso
Respondent Lawyers(s): Lawrence Gelber
Arbitrator(s): Lynne M. Gomez
Hearing Site: Houston, TX
| | $0 |
