| 22-01100 | 10/07/2022 | Claimant(s): Lester Tarver
Claimant Lawyers(s): Lester Tarver
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Jennifer A. Stevens
Arbitrator(s): Thomas A. Martin
Hearing Site: Houston, TX
|  | $0 |
| 21-01768 | 08/25/2022 | Claimant(s): Tricia Wilson
Claimant Lawyers(s): Lars Soreide
Respondent(s): Clarissa Beltran, Wells Fargo Clearing Services
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): James Wallace Boeckman, G. Dennis Sheehan, James Douglas Gaughan
Hearing Site: Houston, TX
| | Expungement |
| 21-00712 | 08/22/2022 | Claimant(s): Tastyworks.
Claimant Lawyers(s): Thomas G. Haskins
Respondent(s): Jonathan Thrower
Respondent Lawyers(s): Jonathan Thrower
Arbitrator(s): Thomas A. Martin, Gary L. Foose, Stephen Neil Foster
Hearing Site: Houston, TX
| | $0 |
| 22-00365 | 08/10/2022 | Claimant(s): Alexander Ladage
Claimant Lawyers(s): Melissa J. Gworek
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Robert C. Rice
Hearing Site: Houston, TX
| | |
| 21-02355 | 07/25/2022 | Claimant(s): Randy Nelson
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Leyla Bari
Arbitrator(s): Lynne M. Gomez
Hearing Site: Houston, TX
| | |
| 22-00235 | 07/25/2022 | Claimant(s): Shawn Bivens
Claimant Lawyers(s): Christopher H Tovar
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Andrew M. DeLucia
Arbitrator(s): G. Maynard Green, Jude A Smith, Christopher Allen
Hearing Site: Houston, TX
| | |
| 21-02663 | 07/20/2022 | Claimant(s): Daniel Mercer
Claimant Lawyers(s): Daniel Aaron Mercer
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): Laura T. Ruiz Rivera
Arbitrator(s): Stephen T. Johnson, Brian James Tagtmeier, Katherine Parsley
Hearing Site: Houston, TX
| | |
| 20-03694 | 07/14/2022 | Claimant(s): Juan Rodriguez, Myriam Gonzalez
Claimant Lawyers(s): Jeffrey D. Anderson
Respondent(s): Antonio ReynaL Financial LLC, Edward Miller, Financial Resources Group Investment Srv
Respondent Lawyers(s): Jack D. Ballard
Arbitrator(s): G. Maynard Green, Danielle L. Hargrove, Elena Dilorio
Hearing Site: Houston, TX
| | $2,573,340 |
| 21-02480 | 07/12/2022 | Claimant(s): Hal Finberg
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Katelyn H. Wilson
Arbitrator(s): Thomas A. Martin
Hearing Site: Houston, TX
| | |
| 22-00022 | 07/11/2022 | Claimant(s): Amanda Dunlap
Claimant Lawyers(s): Lydia R. Zaidman
Respondent(s): Royal Alliance Associates.
Respondent Lawyers(s): Gregory M. Curley
Arbitrator(s): Daniel J. Pagnano
Hearing Site: Houston, TX
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