Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:
| Case Number | Award Date | Case Summary | Customer Case? | Amount Granted |
|---|---|---|---|---|
| 23-02833 | 06/14/2024 | Claimant(s): Kevin Wright, Shay Scruggs Claimant Lawyers(s): Brent A. Burns Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): John Murphy Arbitrator(s): Sherry R. Wetsch, Robert C. Rice, Bill Ray Haley Hearing Site: Houston, TX | ||
| 23-01334 | 06/14/2024 | Claimant(s): Brandon Bowman Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Cetera Advisors LLC Respondent Lawyers(s): David Feldstein Arbitrator(s): Lynne M. Gomez Hearing Site: Houston, TX | ||
| 23-02866 | 06/04/2024 | Claimant(s): Paul Nitz Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Avantax Investment Services. Respondent Lawyers(s): Judith Knudsen Arbitrator(s): Lynne M. Gomez Hearing Site: Houston, TX | ||
| 22-02383 | 05/14/2024 | Claimant(s): Joseph Barbour Claimant Lawyers(s): Dochtor Kennedy Respondent(s): BBVA Securities. Respondent Lawyers(s): Jonathan P. Hoffmann Arbitrator(s): Allan R. Lazor Hearing Site: Houston, TX | ||
| 23-02598 | 05/01/2024 | Claimant(s): Williams Butcher Claimant Lawyers(s): Seth Ian Rubinson Respondent(s): International Assets Advisory Respondent Lawyers(s): Myra P. Nicholson Arbitrator(s): G. Dennis Sheehan, Dawna Kim Larson, Nick Thomas Hearing Site: Houston, TX | ||
| 23-01743 | 04/30/2024 | Claimant(s): Francis Amsler, Marc Laborde Claimant Lawyers(s): Jennifer P. Farrar Respondent(s): Rockefeller Financial LLC Respondent Lawyers(s): William Fenrich Arbitrator(s): Jeffrey R. Jury Hearing Site: Houston, TX | ||
| 23-02870 | 04/26/2024 | Claimant(s): Williams Butcher Claimant Lawyers(s): Seth Ian Rubinson Respondent(s): International Assets Advisory Respondent Lawyers(s): Myra P. Nicholson Arbitrator(s): Oren L. Connaway, David Aaron DeSoto, James Douglas Gaughan Hearing Site: Houston, TX | ||
| 23-01849 | 04/18/2024 | Claimant(s): Brian Hagen Claimant Lawyers(s): James P. Galvin Respondent(s): Concourse Financial Group Securities Respondent Lawyers(s): Kathryn Roe Eldridge Arbitrator(s): Michael S. Yauch Hearing Site: Houston, TX | ||
| 22-02894 | 04/17/2024 | Claimant(s): Peggy Hedgren Claimant Lawyers(s): Jennifer P. Farrar Respondent(s): Edward Jones Respondent Lawyers(s): Donald R. Littlefield Arbitrator(s): Allan R. Lazor, David Aaron DeSoto, Fred Olivares Hearing Site: Houston, TX |  | Expungement |
| 23-01937 | 04/15/2024 | Claimant(s): Donald Laurence Claimant Lawyers(s): Stephan Louviere Respondent(s): Hilltop Securities Inc. Respondent Lawyers(s): David M. Clem Arbitrator(s): Sherry R. Wetsch Hearing Site: Houston, TX |