| 13-00965 | 09/11/2015 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Victor Walker
Respondent Lawyers(s): Marcellous S. McZeal
Arbitrator(s): Bernard D. Hammer, Donald K. Eckhardt, Christine L. Stetson
Hearing Site: Houston, TX
| | |
| 13-03730 | 09/04/2015 | Claimant(s): Nizam Meah, Griffin Capital (Westmont) Investor 19,
Claimant Lawyers(s): Kalju Nekvasil
Respondent(s): Ameriprise Financial Services., Justin Swope
Respondent Lawyers(s): Sydney H. Crowder
Arbitrator(s): William R. Jonson, Stephen James Cavanaugh, John Chelsea Allman
Hearing Site: Houston, TX
|  | Expungement |
| 14-00868 | 09/04/2015 | Claimant(s): Janelle Lopez Walker
Claimant Lawyers(s): David Liebrader
Respondent(s): Wells Fargo Advisors, Darwin Wisener
Respondent Lawyers(s): Vanessa M. Hoffmann
Arbitrator(s): Daniel J. Pagnano
Hearing Site: Houston, TX
| | Expungement |
| 14-03170 | 09/01/2015 | Claimant(s): Waddell & Reed
Claimant Lawyers(s): Carol H. Li
Respondent(s): Elizabeth Smith
Respondent Lawyers(s): Elizabeth Smith
Arbitrator(s): Thomas A. Martin
Hearing Site: Houston, TX
| | |
| 14-01508 | 08/28/2015 | Claimant(s): Charles Doraine
Claimant Lawyers(s): Donald M Feferman
Respondent(s): Kevin Mccracken, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Teri L. Danish
Arbitrator(s): Frank M. Romano, Reginald Harris Brockwell, Julie Marie Miller
Hearing Site: Houston, TX
| | |
| 14-02240 | 08/24/2015 | Claimant(s): Jeanne Hebert
Claimant Lawyers(s): Jeanne H. Hebert
Respondent(s): Wells Fargo Advisors, Lindsey Barlow
Respondent Lawyers(s): Alan S. Rafterman
Arbitrator(s): Steve R. Neuman, Kathy R. Holler, Michele N. O'Brien
Hearing Site: Houston, TX
| | Expungement |
| 14-01015 | 07/28/2015 | Claimant(s): Cheryl Galyan, Ralph Galyan
Claimant Lawyers(s): Christa Samaniego
Respondent(s): Adriana Estevez, Morgan Stanley, Mark Magarian
Respondent Lawyers(s): Debra Achkire
Arbitrator(s): Steve R. Neuman, Walter F. Schleyer, Jack Chapline Vaughan
Hearing Site: Houston, TX
| | Expungement |
| 14-02518 | 07/28/2015 | Claimant(s): Dina Eldin, Munif Farhan
Claimant Lawyers(s): Dina Eldin
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): Jeffrey R. Jury
Hearing Site: Houston, TX
| | $9,233 |
| 14-00743 | 07/15/2015 | Claimant(s): Scott Zodin
Claimant Lawyers(s): Geoffrey D. Weisbart
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Tracy L. Gerber
Arbitrator(s): Malcolm Edwin Whittaker, Gary L. Foose, Phillip M. Renfro
Hearing Site: Houston, TX
| | |
| 14-03768 | 07/10/2015 | Claimant(s): Carl Smith, Joseph Baldassarra, Steven Baldassarra
Claimant Lawyers(s): Carl Smith
Respondent(s): Pieter Wijk
Respondent Lawyers(s): Hilton M. Wiener
Arbitrator(s): Michele N. O'Brien
Hearing Site: Houston, TX
| | $0 |
