| 14-01405 | 06/15/2016 | Claimant(s): Kenneth Adams
Claimant Lawyers(s): Kenneth W. Adams
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Meagan A. Lamberti
Arbitrator(s): Thomas A. Martin, Edward Thomas Leech, Victoria P Jalo
Hearing Site: Houston, TX
|  | $0 |
| 15-01119 | 05/19/2016 | Claimant(s): Joseph Rothbauer
Claimant Lawyers(s): Ryan Cook
Respondent(s): Hector Perez
Respondent Lawyers(s): Hector Perez
Arbitrator(s): William R. Jonson
Hearing Site: Houston, TX
| | $120,148 |
| 16-00119 | 04/29/2016 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s): Stephen Vaughan
Respondent Lawyers(s): Stephen A. Vaughan
Arbitrator(s):
Hearing Site: Houston, TX
| | |
| 14-03172 | 04/12/2016 | Claimant(s): Randall Stafford
Claimant Lawyers(s): Scott D. Ellis
Respondent(s): Cynthia Maphet, Morgan Stanley
Respondent Lawyers(s): Melissa M. Muehlfeld
Arbitrator(s): James G. Cooper, Jack Chapline Vaughan, Francis Joseph Bourgeois
Hearing Site: Houston, TX
| | Expungement |
| 14-03167 | 04/01/2016 | Claimant(s): Aundre Franklin, Assurance Developers & Construction Inc.
Claimant Lawyers(s): Aundre Franklin
Respondent(s): Edward Jones
Respondent Lawyers(s): Paul Yarns
Arbitrator(s): James A. Parker, Franklin R. Morgan, Clark Willis Richards
Hearing Site: Houston, TX
| | $2,600 |
| 14-03770 | 03/30/2016 | Claimant(s): UBS Financial Services Inc., UBS Credit Corp.
Claimant Lawyers(s): Megan A. Smith
Respondent(s): David Lavine
Respondent Lawyers(s): Andrew R. Harvin
Arbitrator(s): James A. Parker, Ann Bradford Ligums, G. Dennis Sheehan
Hearing Site: Houston, TX
| | |
| 15-02414 | 03/22/2016 | Claimant(s): Raymond James Financial Services.
Claimant Lawyers(s): Robert K. Jamieson
Respondent(s): Imtiaz Chowdhury
Respondent Lawyers(s): Lance C. Arney
Arbitrator(s): Maryanne M. Esser
Hearing Site: Houston, TX
| | |
| 14-02851 | 03/14/2016 | Claimant(s): Carol Molnar
Claimant Lawyers(s): Deanna LaPage
Respondent(s): David Diehl
Respondent Lawyers(s): David Diehl
Arbitrator(s): Bertrand C. Moser
Hearing Site: Houston, TX
| | $53,962 |
| 14-01623 | 03/02/2016 | Claimant(s): Rodolfo Romero
Claimant Lawyers(s): Steven Toskes
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Robert E. Goldberg
Arbitrator(s):
Hearing Site: Houston, TX
| | Expungement |
| 15-01084 | 02/16/2016 | Claimant(s): Barbara Schroeder, Stefan Kreuzer, BAPG Partnership Ltd.
Claimant Lawyers(s): Robert L. Herskovits
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Michael Rogala
Respondent Lawyers(s): Nick Hendrix
Arbitrator(s): Sherry R. Wetsch, Philip I. McConnell, Jeffrey R. Jury
Hearing Site: Houston, TX
| | Expungement |
