| 16-02429 | 05/12/2017 | Claimant(s): Kristopher Whitney
Claimant Lawyers(s): Kristopher C. Whitney
Respondent(s): NYLife Securities LLC, Carolyn Wagner, Edward Martinez, Jaime Garcia, Nancy Hunt
Respondent Lawyers(s): Carolyn Maureen Wagner, Edward O. Martinez, Jaime Eduardo Garcia, Mike G. Brown, Nancy L. Hunt
Arbitrator(s): Daniel J. Pagnano, Elena DiIorio, Curtis Jay Meador
Hearing Site: Houston, TX
| | Expungement |
| 16-02075 | 05/09/2017 | Claimant(s): William Leven
Claimant Lawyers(s): Scott E. Rahn
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Katie M. Kimbrell
Arbitrator(s): Daniel J. Pagnano
Hearing Site: Houston, TX
| | |
| 16-02491 | 05/04/2017 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Jonathan D. Berg
Respondent(s): Monica Garcia
Respondent Lawyers(s): Everardo B. Garcia
Arbitrator(s): Michael S. Yauch
Hearing Site: Houston, TX
|  | $0 |
| 15-02289 | 04/11/2017 | Claimant(s): Roberto Ramon Midence Revocable Living
Claimant Lawyers(s): D. Daxton White
Respondent(s): Morgan Stanley, RBC Capital Markets LLC
Respondent Lawyers(s): John P. Kincade, Joseph C. Coates
Arbitrator(s): Maryanne M. Esser, Amy Lynn Mitchell, Shannon Lyn Mays
Hearing Site: Houston, TX
| | Expungement |
| 16-01390 | 04/05/2017 | Claimant(s): Rohn Bertoldi
Claimant Lawyers(s): Gary Menzer
Respondent(s): Steven Knowlton, IMS Securities.
Respondent Lawyers(s): Martin S. Schexnayder
Arbitrator(s): David C. Redford, Heather Gaile Layton, Jonathan Charles Day
Hearing Site: Houston, TX
| | $27,000 |
| 15-03489 | 03/27/2017 | Claimant(s): James Robertson
Claimant Lawyers(s): Mike Aduddell
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jack D. Ballard
Arbitrator(s): Larry J. Sklar, Brian James Tagtmeier, Julie Marie Miller
Hearing Site: Houston, TX
| | |
| 16-02646 | 03/08/2017 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Jack D. Ballard
Respondent(s): Lejo Abraham
Respondent Lawyers(s): Lejo Abraham
Arbitrator(s): Allan R. Lazor
Hearing Site: Houston, TX
| | |
| 16-00018 | 03/03/2017 | Claimant(s): Shawn Kesterson
Claimant Lawyers(s): Shawn Kesterson
Respondent(s): Jim Pinegar, Judy Pinegar
Respondent Lawyers(s): Jim Pinegar, Judy Pinegar
Arbitrator(s): Thomas A. Martin, Heath O. Lauseng, Scott Hooper
Hearing Site: Houston, TX
| | Expungement |
| 16-01775 | 01/26/2017 | Claimant(s): Patrick Biggins
Claimant Lawyers(s): Mark Wilson
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Jonathan C. Schwartz
Arbitrator(s): Bertrand C. Moser, Robert L. Rolnick, David Aaron DeSoto
Hearing Site: Houston, TX
| | |
| 15-03252 | 01/18/2017 | Claimant(s): Brian Arnold
Claimant Lawyers(s): Bradley D. Schnur
Respondent(s): Joseph Schaffer
Respondent Lawyers(s): John E. Lawlor
Arbitrator(s): Daniel J. Pagnano
Hearing Site: Houston, TX
| | $300 |
