| 13-01603 | 10/28/2014 | Claimant(s): Annabelle Relf, Jeffrey Relf
Claimant Lawyers(s): Edward H. Glenn
Respondent(s): David Rogers, Dwight Badger, Keith Beck, Keith Daubenspeck, Matthew Gartner, Advanced Equities.
Respondent Lawyers(s): Amal S. Amin, Howard R. Elisofon, Keith Eric Beck
Arbitrator(s): Jeff Kilgore, Lynne M. Gomez, John Chelsea Allman
Hearing Site: Houston, TX
|  | Expungement |
| 12-02570 | 10/10/2014 | Claimant(s): Craig D. Porter Family Ltd. Partnership
Claimant Lawyers(s): Herbert E. Pounds
Respondent(s): UBS International.
Respondent Lawyers(s): Tracey Salmon-Smith
Arbitrator(s): Antoinette M. Romano, Brian James Tagtmeier, Montie G. Grimes
Hearing Site: Houston, TX
| | Expungement |
| 14-00905 | 09/24/2014 | Claimant(s): Konrad Molski
Claimant Lawyers(s): Adam Green
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Dana S. Gloor
Arbitrator(s): Michael S. Yauch
Hearing Site: Houston, TX
| | $0 |
| 13-01816 | 09/19/2014 | Claimant(s): Douglas Radcliffe
Claimant Lawyers(s): Miles D. Hart
Respondent(s): Joyce Wright
Respondent Lawyers(s): Joyce M. Wright
Arbitrator(s): Jack Chapline Vaughan
Hearing Site: Houston, TX
| | Expungement |
| 12-03307 | 09/16/2014 | Claimant(s): Mounang Desai, U&M Desai Ltd.
Claimant Lawyers(s): Glenn R. LeMay
Respondent(s): Eric Foster, Michael Morris, Halcyon Cabot Partners, Ltd.
Respondent Lawyers(s): Eric Foster, Maranda E. Fritz
Arbitrator(s): James Sean Healey, John K. Boyce, Michael S. Wilk
Hearing Site: Houston, TX
| | $264,450 |
| 13-00990 | 08/22/2014 | Claimant(s): Debra Rafano
Claimant Lawyers(s): Debra J. Rafano
Respondent(s): Morgan Stanley Dean Witter
Respondent Lawyers(s): Chan H. Nam
Arbitrator(s): R. Lee Britton Jr., Robert L. Moran, William Guy Arnot
Hearing Site: Houston, TX
| | $0 |
| 14-00179 | 08/15/2014 | Claimant(s): Larry Wiggins
Claimant Lawyers(s): Larry G. Wiggins
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Megan A. Lamberti
Arbitrator(s): Philip I. McConnell
Hearing Site: Houston, TX
| | $0 |
| 13-01167 | 08/13/2014 | Claimant(s): Pelican Holdings, Ltd.
Claimant Lawyers(s): Jason A. Gibson
Respondent(s): Jeffrey Taylor, Vanguard Marketing Corporation
Respondent Lawyers(s): Joshua R. Dutill
Arbitrator(s): Michael S. Wilk, Robert Alan Meyer, Samuel Olutola Akeju
Hearing Site: Houston, TX
| | Expungement |
| 12-03762 | 08/12/2014 | Claimant(s): Bridget Gipson, John Gaynoe
Claimant Lawyers(s): David Luther Woodward, Marsha L. Lyons
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Joseph C. Coates
Arbitrator(s): Richard F. Dole, Onnig Hatchig Dombalagian, Richard Devlin Roussel
Hearing Site: Houston, TX
| | |
| 14-00920 | 08/01/2014 | Claimant(s): Wachovia Securities Financial Network
Claimant Lawyers(s): Jack D. Ballard
Respondent(s): Rhonda Matthews
Respondent Lawyers(s): Rhonda J. Matthews
Arbitrator(s): Thomas D. Nagle
Hearing Site: Houston, TX
| | |
