| 12-01755 | 01/30/2014 | Claimant(s): James Robertson
Claimant Lawyers(s): Mike Aduddell
Respondent(s): James Fulp, Jamie Kosharek, John Houston, Leslie Reese, Raymond James Financial Services.
Respondent Lawyers(s): Erin K. Linehan, Michael Y. Lin
Arbitrator(s): Donald K. Eckhardt, Robert Dan Sherrill, Joseph Anthony Slechta
Hearing Site: Houston, TX
| | |
| 10-05712 | 03/06/2012 | Claimant(s): Jack Laskey, Helen D. Laskey I.R.A., Jack R. Laskey I.R.A.
Claimant Lawyers(s): Mark C. Watler
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Retta A. Miller
Arbitrator(s): Ronald R. Simpson, Robert Dan Sherrill, Daniel J. Pagnano
Hearing Site: Houston, TX
|  | $300 |
| 08-04893 | 08/01/2011 | Claimant(s): Baker Hughes Incorporated, Baker Hughes Treasury Services GMBH
Claimant Lawyers(s): Richard L. LaGarde
Respondent(s): BNY Mellon Capital Markets LLC
Respondent Lawyers(s): Todd E. Gordinier
Arbitrator(s): John A. Dewald, Robert Dan Sherrill, Lynne M. Gomez
Hearing Site: Houston, TX
| | $0 |
| 09-06804 | 07/29/2011 | Claimant(s): Catherine McMichael, Wallact T. and Catherine McMichael Trust
Claimant Lawyers(s): Richard H. Elliott
Respondent(s): Wells Fargo Advisors, Gary Foose
Respondent Lawyers(s): Jack D. Ballard
Arbitrator(s): Ronald R. Simpson, Leonard J. Sullivan, Robert Dan Sherrill
Hearing Site: Houston, TX
| | Expungement |
