| 23-03072 | 11/18/2024 | Claimant(s): Hilltop Securities Inc.
Claimant Lawyers(s): Richard D. Pullman
Respondent(s): Careena Patel
Respondent Lawyers(s): Dochtor Kennedy
Arbitrator(s): Edward S. Koppman, Eric Ross Cromartie, Angela L. Sanders
Hearing Site: Dallas, TX
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| 23-02562 | 10/10/2024 | Claimant(s): Christopher Alvarez
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Jeffrey S. Dunlap
Arbitrator(s): Karen Roberts Washington, Chermaine Nkomo, Tricia R DeLeon
Hearing Site: Dallas, TX
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| 23-02438 | 10/07/2024 | Claimant(s): William Burks
Claimant Lawyers(s): Jennifer P. Farrar
Respondent(s): Centaurus Financial.
Respondent Lawyers(s): Michael J. Carey
Arbitrator(s): Joseph Neal Richardson
Hearing Site: Dallas, TX
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| 24-00431 | 09/25/2024 | Claimant(s): Dax Seale
Claimant Lawyers(s): George L. Guerra
Respondent(s): Raymond James & Associates.
Respondent Lawyers(s): Gianluca Morello
Arbitrator(s): Chandler R. Bridges, Peter N. Thompson, Mary Kathleen Coleman
Hearing Site: Dallas, TX
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| 23-02881 | 09/11/2024 | Claimant(s): Bruce Kimball
Claimant Lawyers(s): Bruce M. Kimball
Respondent(s): Securities America., Geneos Wealth Management
Respondent Lawyers(s): Jennifer R. Cox, Victoria H. Buter
Arbitrator(s): David A. Schuler
Hearing Site: Dallas, TX
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| 22-01852 | 09/04/2024 | Claimant(s): Yousef Bhatti
Claimant Lawyers(s): Wilmer D. Masterson
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Donald R. Littlefield
Arbitrator(s): Eric Ross Cromartie, Dianne Connally Betts, Michelle Prudhomme-Coleman
Hearing Site: Dallas, TX
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| 23-01281 | 07/26/2024 | Claimant(s): John Loyd
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC, Edward Jones
Respondent Lawyers(s): Jonathan W. Hackbarth, Kelsey Vasko
Arbitrator(s): Frances Johnson Wright
Hearing Site: Dallas, TX
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| 23-02073 | 07/15/2024 | Claimant(s): Timothy Walsh
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): World Choice Securities.
Respondent Lawyers(s): Robert K. Cargin
Arbitrator(s): Ross B. Russell
Hearing Site: Dallas, TX
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| 23-02797 | 06/27/2024 | Claimant(s): J. Rhodes
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Rhodes Securities.
Respondent Lawyers(s): Gordon Rhodes
Arbitrator(s): Andrea U. Calve
Hearing Site: Dallas, TX
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| 23-02192 | 06/20/2024 | Claimant(s): Apex Clearing Corporation
Claimant Lawyers(s): Jonathan D. Neerman
Respondent(s): Elevated Principles Inc. d/b/a Flyte
Respondent Lawyers(s): David Williams Hannes
Arbitrator(s): Mary Elizabeth Skelnik, Dianne Connally Betts, Will Pryor
Hearing Site: Dallas, TX
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