| 19-00951 | 12/16/2019 | Claimant(s): Roger Engemoen
Claimant Lawyers(s): Erin M. Brewer
Respondent(s): Samco Capital Markets.
Respondent Lawyers(s): Joel B. Bailey
Arbitrator(s): Eric Ross Cromartie
Hearing Site: Dallas, TX
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| 18-03277 | 06/12/2019 | Claimant(s): PFS Investments Inc.
Claimant Lawyers(s): Stephen D. Councill
Respondent(s): Nancy De Leeuw, Perry De Leeuw
Respondent Lawyers(s): Nancy Elaine De Leeuw, Perry De Leeuw
Arbitrator(s): Eric Ross Cromartie
Hearing Site: Dallas, TX
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| 18-01937 | 03/20/2019 | Claimant(s): John Coyle
Claimant Lawyers(s): Clint A. Corrie
Respondent(s): Hilltop Securities Inc.
Respondent Lawyers(s): Jonathan Neerman
Arbitrator(s): Eric Ross Cromartie
Hearing Site: Dallas, TX
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| 17-01116 | 06/29/2018 | Claimant(s): Wavecrest Securities LLC
Claimant Lawyers(s): Amy Conners
Respondent(s): Charles Constant
Respondent Lawyers(s): John P. Kincade
Arbitrator(s): William Cavalier, Edward J. Lynch, Eric Ross Cromartie
Hearing Site: Dallas, TX
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| 18-00454 | 06/20/2018 | Claimant(s): Ira Kravitz
Claimant Lawyers(s): David I. Hantman
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Nicholas Lin
Arbitrator(s): Eric Ross Cromartie
Hearing Site: Dallas, TX
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| 17-03119 | 01/05/2018 | Claimant(s): Michael C. Seamands
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Craig Vollono
Arbitrator(s): Eric Ross Cromartie
Hearing Site: Dallas, TX
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| 16-03444 | 06/13/2017 | Claimant(s): Robert Packer
Claimant Lawyers(s): Anthony J. Borrelli
Respondent(s): Susan Beyer, Vernon Beyer, The Beyer 2014 Trust, The VEB Trust, The Vernon Beyer Descendant Trust
Respondent Lawyers(s): John L. Dagley
Arbitrator(s): Eric Ross Cromartie
Hearing Site: Dallas, TX
| | Expungement |
| 16-02701 | 02/01/2017 | Claimant(s): Michael Magruder
Claimant Lawyers(s): David E. Robbins
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Nuviah Shirazi
Arbitrator(s): Dineo Coleman Gary, Eric Ross Cromartie, Douglas Ken Rudley
Hearing Site: Dallas, TX
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| 15-00392 | 10/05/2015 | Claimant(s): Michael Magruder
Claimant Lawyers(s): David E. Robbins
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Nuviah Shirazi
Arbitrator(s): Ann Blaess Kimball, Stephen Ronald Crissey, Eric Ross Cromartie
Hearing Site: Dallas, TX
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| 10-05180 | 02/25/2014 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Allan Watt, Gloria Keimer, Lois Powell, Paula Czapko, Robert Ratcliff
Respondent Lawyers(s): Diane C. Fischer, Robert L. Herskovits
Arbitrator(s): Earle J. Schwarz, Robert E. Treadaway, Eric Ross Cromartie
Hearing Site: Dallas, TX
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