| 13-02461 | 03/13/2015 | Claimant(s): JT & JT Enterprises.
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): Sunset Financial Services.
Respondent Lawyers(s): Martin S. Schexnayder
Arbitrator(s): Maryanne M. Esser, Michele N. O'Brien, Jason Kyle Beale
Hearing Site: Houston, TX
|  | $0 |
| 13-00784 | 03/04/2015 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Michael R. Greco
Respondent(s): Connie Mack, Mark Blom, Richard Rosso
Respondent Lawyers(s): Clinton W. Marrs
Arbitrator(s): R. Lee Britton Jr., Carol Akers Klug, Steven Dale Smit
Hearing Site: Houston, TX
| | |
| 12-03842 | 02/23/2015 | Claimant(s): Estate of John O'Quinn
Claimant Lawyers(s): Cynthia R Levin Moulton
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Linda Broocks
Arbitrator(s): James E. Schlottmann, Robert L. Moran, Eric R. Benton
Hearing Site: Houston, TX
| | Expungement |
| 13-01827 | 01/27/2015 | Claimant(s): Deborah Medellin, Hector Medellin
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Samuel Nelson-Archer
Respondent Lawyers(s): Robert L. Horn
Arbitrator(s): Malcolm Edwin Whittaker, Clark Willis Richards, Michael Louis Goldstone
Hearing Site: Houston, TX
| | $17,486 |
| 13-02821 | 01/26/2015 | Claimant(s): Dorothy Robertson
Claimant Lawyers(s): Samuel B. Edwards
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Vanessa M Hoffman
Arbitrator(s): Philip I. McConnell, Maurice J. Fallas, Daniel Stephen Dexter
Hearing Site: Houston, TX
| | Expungement |
| 14-00519 | 12/30/2014 | Claimant(s): Danford Meischen
Claimant Lawyers(s): Jeffrey Glass
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jason K. Roberts
Arbitrator(s): Reginald Harris Brockwell, Allan R. Lazor, Jason Kyle Beale
Hearing Site: Houston, TX
| | |
| 13-01087 | 12/12/2014 | Claimant(s): Patricia McNamara, The Estate of Francis Leo McNamara
Claimant Lawyers(s): Michael Klein
Respondent(s): Ameriprise Financial Services., Justin Montandon
Respondent Lawyers(s): Edward Walton
Arbitrator(s): R. Lee Britton Jr., Jeff Kilgore, Malcolm Edwin Whittaker
Hearing Site: Houston, TX
| | $127,740 |
| 13-01753 | 12/10/2014 | Claimant(s): Annalisa Mendez, Billye Turner, Catherine Hamilton, Daniel O'Malley, David Rubin, Dawn Rubin, Deborah Crowell, Delphaine Smith, Edwin Sanford, Harvey Trammell, Horacio Mendez, James Hamilton, John Turberville, Kerry Rinehart, Larry Davis, Marilyene Davis, Michael Long, Pamela Meador, Peter Isaac, Richard Turner, et al
Claimant Lawyers(s): Donald L. Ferguson, Michael E. Criden, Scott D. Hirsch
Respondent(s): Pershing LLC
Respondent Lawyers(s): Elizabeth F. Edwards
Arbitrator(s): Jeffrey M. Aboloff, Karen Roberts Washington, Clark Willis Richards
Hearing Site: Houston, TX
| | $0 |
| 14-01459 | 12/08/2014 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Michael Taaffe
Respondent(s): Horace Stubblefield
Respondent Lawyers(s): Horace (Gandy) Stubblefield
Arbitrator(s): Maryanne M. Esser
Hearing Site: Houston, TX
| | |
| 13-02229 | 11/18/2014 | Claimant(s): Ed Herringshaw, Mark Rowe, Mary Rowe, Oscar Jones, Roger Matz, Warren Cherry, Estate of Allen Bakker, John Wakefield, Lee Levine, Mark Bentley, Mary Kochenderfer, Melissa Overbay, Paul Wright, Pete Altimore, Robert Evans, Roger Michael, Ron Appelt, W. Bruce Overbay, Wayne Kochenderfer
Claimant Lawyers(s): Wesley Lotz
Respondent(s): U.S. Capital Advisors LLC, USCA RIA LLC, USCA Securities LLC
Respondent Lawyers(s): Suzanne Hickey, CCO
Arbitrator(s): Charles E. Munson, William A. Allen, David C. Redford
Hearing Site: Houston, TX
| | Settlement |
