| 19-01127 | 04/28/2023 | Claimant(s): Trent L. Rosenthal Trust
Claimant Lawyers(s): Samuel B. Edwards
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Anthony J. Borrelli
Arbitrator(s): Francis Joseph Bourgeois, Julie Marie Miller, Edwin Kisiel
Hearing Site: Houston, TX
|  | Expungement |
| 22-00654 | 04/28/2023 | Claimant(s): Troy Stine
Claimant Lawyers(s): Avinoam Rosenfeld
Respondent(s): A. G. Edwards & Sons., Cetera Advisor Networks LLC
Respondent Lawyers(s): David Feldstein, Deirdre Wolff
Arbitrator(s): Maryanne M. Esser, Irving Sylvester Moses, Stuart Diamond
Hearing Site: Houston, TX
| | |
| 22-01792 | 04/20/2023 | Claimant(s): Pat Patterson
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Edward Jones
Respondent Lawyers(s): Jonathan W. Hackbarth
Arbitrator(s): Sherry R. Wetsch
Hearing Site: Houston, TX
| | |
| 22-01442 | 04/14/2023 | Claimant(s): James Malloch
Claimant Lawyers(s): Kevin D. Galbraith
Respondent(s): Cambridge Investment Research.
Respondent Lawyers(s): Jeanette E. Dennis
Arbitrator(s): Allan R. Lazor
Hearing Site: Houston, TX
| | |
| 22-01813 | 04/14/2023 | Claimant(s): Troy Taylor
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Wells Fargo Investments
Respondent Lawyers(s): Jason Kempf
Arbitrator(s): Sherry R. Wetsch
Hearing Site: Houston, TX
| | |
| 22-02681 | 03/22/2023 | Claimant(s): Adrienne LaViolette
Claimant Lawyers(s): Adrienne LaViolette
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): Robert C. Rice
Hearing Site: Houston, TX
| | $0 |
| 21-02651 | 03/22/2023 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Matthew B. Henneman
Respondent(s): Gregory Novak, Tracy Druce
Respondent Lawyers(s): Gregory Novak, Tracy Druce
Arbitrator(s): Linda Broocks, Daniel J. Pagnano, William G Brown
Hearing Site: Houston, TX
| | $260,436 |
| 21-01067 | 03/15/2023 | Claimant(s): Christopher Hamby
Claimant Lawyers(s): Robert H Rex
Respondent(s): McNally Financial Services Corporation
Respondent Lawyers(s): Gary S. Kessler
Arbitrator(s): Brian James Tagtmeier, June Ann Mann, Phyllis Ann Diamond
Hearing Site: Houston, TX
| | Expungement |
| 20-00109 | 03/07/2023 | Claimant(s): Nicholas Low
Claimant Lawyers(s): Rogge Dunn
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Jeffrey S. Dunlap
Arbitrator(s): Oren L. Connaway, Robert C. Rice, Mina Banerjee
Hearing Site: Houston, TX
| | |
| 21-02928 | 03/02/2023 | Claimant(s): Donald Tetrault
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Ameritas Investment Company
Respondent Lawyers(s): Benjamin J. Biard
Arbitrator(s): Mark C Watler, Alan M. Holzberg, Charles John McBride
Hearing Site: Houston, TX
| | Dismissed by Rule 12206 |
