| 19-01495 | 12/26/2019 | Claimant(s): Kimberly Ripoll
Claimant Lawyers(s): Brian E. Bro
Respondent(s): Francis O'Neill, RBC Capital Markets LLC
Respondent Lawyers(s): Lindsay E. Wuller
Arbitrator(s): Daniel J. Pagnano, Allan R. Lazor, Richard Roger Brewer
Hearing Site: Houston, TX
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| 12-00074 | 12/09/2013 | Claimant(s): William Frisco
Claimant Lawyers(s): Brian E. Bro
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Carole Miller
Arbitrator(s): Gary D. Danna, Christine L. Stetson, Alan M. Holzberg
Hearing Site: Houston, TX
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| 09-06504 | 11/16/2011 | Claimant(s): Patrick Mendenhall
Claimant Lawyers(s): Brian E. Bro
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Robert L. Ivey
Arbitrator(s): Nathan Levy, Jeff Kilgore, Mary Esther Escobedo
Hearing Site: Houston, TX
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| 08-01287 | 01/22/2010 | Claimant(s): A. Kovacs
Claimant Lawyers(s): Brian E. Bro
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): N. Nancy Ghabai
Arbitrator(s): Mark C. Watler, James A. Parker, Matthew Crump
Hearing Site: Houston, TX
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