10-04481 | 03/15/2013 | Claimant(s): Frank Tsuru, Stephanie Tsuru Claimant Lawyers(s): Scott D. Marrs Respondent(s): Brodie Cobb, Colin Carter, Jerome Deren, Julie Helwig, Presidio Capital Advisors, Llc, Presidio Financial Partners, L.L.C., Presidio Wealth Management Respondent Lawyers(s): Jennifer Evans Morris Arbitrator(s): Linda Broocks, David G. Beerbower, Arno C. Schwethelm Hearing Site: Houston, TX
| | Expungement |
11-03675 | 03/14/2013 | Claimant(s): Jaime Melgarejo Claimant Lawyers(s): Jaime Melgarejo Respondent(s): Legend Securities. Respondent Lawyers(s): Lawrence R. Gelber Arbitrator(s): Philip I. McConnell Hearing Site: Houston, TX
| | $0 |
12-03539 | 03/12/2013 | Claimant(s): Oppenheimer & Co.. Claimant Lawyers(s): Leo Kogan Respondent(s): William Selvaggi Respondent Lawyers(s): William Selvaggi Arbitrator(s): William Edward Buck Hearing Site: Houston, TX
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10-05115 | 03/01/2013 | Claimant(s): John Darnell Claimant Lawyers(s): Samuel B. Edwards Respondent(s): Morgan Stanley Respondent Lawyers(s): William Hohauser Arbitrator(s): James R. Augustine, W. Merrill Glasgow, Stacey L. Barnes Hearing Site: Houston, TX
| | $0 |
12-02083 | 02/26/2013 | Claimant(s): Enrique Franco Claimant Lawyers(s): John Vong Respondent(s): AXA Distributors Respondent Lawyers(s): Ronald D. Smith Arbitrator(s): Michael S. Wilk Hearing Site: Houston, TX
| | $0 |
11-02375 | 02/20/2013 | Claimant(s): Dorothy Miller, Sam Miller, Dorothy J. Miller IRA, Dr. Sam S. Miller IRA, Ms. Dorothy J. and Dr. Sam S. Miller, Dr. Sam S. Miller Trust, Ms. Dorothy J. Miller Trust Claimant Lawyers(s): Sylvan S. Lang Respondent(s): Edwin Fulkerson, Charles Schwab & Co.. Respondent Lawyers(s): Richard L. Martens Arbitrator(s): Robert M. Birenbaum, Donald K. Eckhardt, Larry J. Craddock Hearing Site: Houston, TX
| | Stipulated Award and Expungement |
11-04022 | 02/14/2013 | Claimant(s): Sunbelt Securities. Claimant Lawyers(s): Robert M. Corn Respondent(s): Morgan Stanley & Co. Respondent Lawyers(s): Glen Silverstein Arbitrator(s): Timothy L. Andrews, John Michael Watson, Ross D. Friend Hearing Site: Houston, TX
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12-00299 | 02/08/2013 | Claimant(s): UBS Financial Services Inc. Claimant Lawyers(s): Brian S. Hormozi Respondent(s): Fernando Castillo Respondent Lawyers(s): Fernando Castillo Arbitrator(s): Oren L. Connaway Hearing Site: Houston, TX
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09-05596 | 01/17/2013 | Claimant(s): Lloyd Gillespie Claimant Lawyers(s): Richard B. Fosher Respondent(s): Oppenheimer & Co.., Joshua Barg, Aegis Capital Corp. Respondent Lawyers(s): Andrew R. Harvin, Michael H. Ference, Ted Poretz Arbitrator(s): Donald K. Eckhardt, James M. Alexander, Malcolm Edwin Whittaker Hearing Site: Houston, TX
| | $1,074,600 |
12-00859 | 01/17/2013 | Claimant(s): Anna Manzo, Francis Manzo, Francis M & Anna Marie Manzo Fam Trst, P. Manzo & W. Manzo Living Trust Claimant Lawyers(s): Kristian P. Kraszewiski Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Esther E. Cho Arbitrator(s): Randall W Heinrich, Richard F. Dole, Michael L. Landrum Hearing Site: Houston, TX
| | Expungement |