| 23-01122 | 06/07/2024 | Claimant(s): William Straub
Claimant Lawyers(s): Christopher H. Tovar
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Thomas W. Allen
Hearing Site: Dallas, TX
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| 23-01420 | 02/27/2024 | Claimant(s): Matthew Langhorst, Rebecca Hallman
Claimant Lawyers(s): Bryon Romine
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): John Murphy
Arbitrator(s): Richard C. Corse, Thomas W. Allen, Don G Miller
Hearing Site: Dallas, TX
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| 23-00428 | 08/04/2023 | Claimant(s): David Bower, Russell Cooper
Claimant Lawyers(s): David I. Hantman
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Thomas W. Allen
Hearing Site: Dallas, TX
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| 22-02766 | 06/23/2023 | Claimant(s): Timothy Hightower
Claimant Lawyers(s): Jennifer Poole Farrar
Respondent(s): Capital Investment Group., WFG Investments.
Respondent Lawyers(s): David Williams, Mickey B. Wright
Arbitrator(s): Thomas W. Allen
Hearing Site: Dallas, TX
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| 21-01299 | 09/15/2022 | Claimant(s): Mark Creason
Claimant Lawyers(s): Lisanne M. Butterfield
Respondent(s): Colorado Financial Service Corporation
Respondent Lawyers(s): William D. Nelson
Arbitrator(s): Jan Glenn Valecka, Thomas W. Allen, Ross B. Russell
Hearing Site: Dallas, TX
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| 21-02550 | 09/01/2022 | Claimant(s): Drew Springer
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): FSC Securities Corporation, KMS Financial Services.
Respondent Lawyers(s): Gregory M. Curley, Jennifer R. Cox
Arbitrator(s): Thomas W. Allen
Hearing Site: Dallas, TX
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| 18-00162 | 09/17/2019 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Thomas B. Lewis
Respondent(s): Joseph Shimko
Respondent Lawyers(s): Christopher Kammerer
Arbitrator(s): Ellen J. Abrams, Thomas W. Allen, William Dennis Ferguson
Hearing Site: Boca Raton, FL
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| 17-01994 | 12/07/2018 | Claimant(s): Brian Kirkpatrick
Claimant Lawyers(s): Lawrence A. Kellogg
Respondent(s): Capital Guardian, Capital Guardian Holding
Respondent Lawyers(s): Justin Lowe, Sandro L. Ramos
Arbitrator(s): Dale H. Van Scoyk, Thomas W. Allen, Jason Allen Rosner
Hearing Site: Boca Raton, FL
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| 15-02876 | 08/09/2016 | Claimant(s): Henry Boyce III
Claimant Lawyers(s): Peter W. Homer
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Keith Olin
Arbitrator(s): Barth Satuloff, Thomas W. Allen, Edward Alexander Jaffe
Hearing Site: Boca Raton, FL
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| 12-03909 | 05/30/2013 | Claimant(s): Raymond James Financial Services.
Claimant Lawyers(s): William McCourt Schmitt
Respondent(s): Jason Steele
Respondent Lawyers(s): Jason Leon Steele
Arbitrator(s): Thomas W. Allen
Hearing Site: Raleigh, NC
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