| 18-04120 | 09/30/2019 | Claimant(s): Jeff Davis
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Neal S. Robb
Arbitrator(s): David A. Schuler
Hearing Site: Dallas, TX
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| 18-02364 | 02/01/2019 | Claimant(s): Mark Callahan
Claimant Lawyers(s): Tosh D Grebenik
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): W. Preston Martin
Arbitrator(s): David A. Schuler
Hearing Site: New Orleans, LA
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| 16-02761 | 09/06/2018 | Claimant(s): Kurt Haney, Robert Staton
Claimant Lawyers(s): Robert M. Thornton
Respondent(s): Deutsche Bank Securities.
Respondent Lawyers(s): Donald R. Littlefield
Arbitrator(s): Robert A. Bettis, David A. Schuler, Robert L Williamson
Hearing Site: Dallas, TX
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| 17-01708 | 03/15/2018 | Claimant(s): Norman Coates
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Morgan Stanley DW Inc., Legg Mason Wood Walker, Capital One Investments
Respondent Lawyers(s): Chan Nam, Todd Ratner
Arbitrator(s): David A. Schuler
Hearing Site: Dallas, TX
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| 17-02165 | 12/15/2017 | Claimant(s): Monda Hanna
Claimant Lawyers(s): David I. Hantman
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Ralph Izzo
Arbitrator(s): David A. Schuler
Hearing Site: Dallas, TX
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| 16-02667 | 10/13/2017 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s): Sandra Hudgins
Respondent Lawyers(s): Sandra Joseph Hudgins
Arbitrator(s): David A. Schuler, Joseph Neal Richardson, Leon Hilary Horne
Hearing Site: Dallas, TX
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| 15-02125 | 05/19/2017 | Claimant(s): Commerce Street Capital
Claimant Lawyers(s): Sonja J. McGill
Respondent(s): Eric Rosiak, T. Akers
Respondent Lawyers(s): Elise M. Baumgarten
Arbitrator(s): William E. Hartsfield, David A. Schuler, Angela Perri White
Hearing Site: Dallas, TX
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| 16-02944 | 04/07/2017 | Claimant(s): Glen Smith
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Lacy M. Triplett
Arbitrator(s): David A. Schuler
Hearing Site: Dallas, TX
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| 13-02902 | 03/27/2014 | Claimant(s): William Missimer, III
Claimant Lawyers(s): William M. Mann
Respondent(s): Charles Corbett
Respondent Lawyers(s): Charles E. Corbett
Arbitrator(s): David A. Schuler
Hearing Site: Dallas, TX
| | Expungement |
| 08-01052 | 04/28/2009 | Claimant(s): Investment Professionals.
Claimant Lawyers(s): Christopher H. Tovar
Respondent(s): Cary Scheer, Corey McCarty
Respondent Lawyers(s): John R. Fahy
Arbitrator(s): Robert L. Yeager, Melody A. Pruser, David A. Schuler
Hearing Site: Dallas, TX
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