| 16-01885 | 12/27/2016 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Jack D. Ballard
Respondent(s): Jose Landin
Respondent Lawyers(s): Jose A. Landin
Arbitrator(s): Michael Louis Goldstone
Hearing Site: Houston, TX
| | |
| 16-02028 | 11/14/2016 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Jack D. Ballard
Respondent(s): Emilio Guajardo
Respondent Lawyers(s): Emilio Guajardo
Arbitrator(s): Allan R. Lazor
Hearing Site: Houston, TX
| | |
| 15-00553 | 10/07/2016 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Jeffrey M. Csercsevits
Respondent(s): Roman Reed, Victor Barrionuevo
Respondent Lawyers(s): Paul D. Flack
Arbitrator(s): Thomas A. Cipolla, Bertrand C. Moser, Marjorie C. Johnson
Hearing Site: Houston, TX
| | |
| 15-03389 | 10/07/2016 | Claimant(s): Stephens Associates Trust
Claimant Lawyers(s): Richard Ohendalski
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Kevin H. Lewis
Arbitrator(s): Jeffrey R. Jury
Hearing Site: Houston, TX
|  | $0 |
| 15-02213 | 09/07/2016 | Claimant(s): Cory Fein, Kathryn Kersh, Paula Ebow, Sylvia Vargas, Caddell & Chapman
Claimant Lawyers(s): Cory S. Fein
Respondent(s): UBS Financial Services Inc., Michael Karchmer
Respondent Lawyers(s): Anthony J. Borrelli
Arbitrator(s): Brian James Tagtmeier
Hearing Site: Houston, TX
| | Expungement |
| 15-02660 | 08/24/2016 | Claimant(s): Rodney Ellis
Claimant Lawyers(s): James M. Douglas
Respondent(s): Rice Financial Products Company
Respondent Lawyers(s): Lisa-Sheri K. Torrence
Arbitrator(s): David C. Redford
Hearing Site: Houston, TX
| | |
| 16-01130 | 08/15/2016 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Christopher S. Koller
Respondent(s): Michael Bradford
Respondent Lawyers(s): Michael Dean Bradford
Arbitrator(s): Bertrand C. Moser
Hearing Site: Houston, TX
| | |
| 14-02839 | 08/05/2016 | Claimant(s): Michael Taylor
Claimant Lawyers(s): Seth E. Lipner
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): Maryanne M. Esser, Montie G. Grimes, Thomas D. Cordell
Hearing Site: Houston, TX
| | |
| 15-00737 | 07/25/2016 | Claimant(s): James J. Flanagan Shipping Corporation
Claimant Lawyers(s): Andrew R. Harvin
Respondent(s): John Labarca, National Securities Corporation
Respondent Lawyers(s): Derek Anderson, John Labarca
Arbitrator(s): Richard F. Dole, Byron G. Hannah, Andrea Joan Douglas
Hearing Site: Houston, TX
| | $504,443 |
| 15-00994 | 06/16/2016 | Claimant(s): Waddell Jeffries
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Legend Securities.
Respondent Lawyers(s): Lawrence R. Gelber
Arbitrator(s): Bertrand C. Moser, Alan M. Holzberg, Daniel Stephen Dexter
Hearing Site: Houston, TX
| | $80,600 |
