| 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
| | |
| 16-03532 | 01/26/2018 | Claimant(s): Renee Fields
Claimant Lawyers(s): John J. Miller
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Julie Fleming-Wolfe
Arbitrator(s): Michael D. Fitzgerald, Philip J. Glick, Edward J. Lynch
Hearing Site: Kansas City, MO
| | |
| 16-01948 | 09/20/2017 | Claimant(s): UBS Financial Services Inc., UBS Credit Corp.
Claimant Lawyers(s): Michael T. Roche
Respondent(s): Carlos Rodriguez
Respondent Lawyers(s): Carlos A. Rodriguez
Arbitrator(s): Edward J. Lynch
Hearing Site: Dallas, TX
| | |
| 16-01391 | 12/19/2016 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s): Jay Davis
Respondent Lawyers(s): Jay Robert Davis
Arbitrator(s): Ronald G. Johnson, C. Sumpter Logan, Edward J. Lynch
Hearing Site: Dallas, TX
| | |
| 13-02927 | 03/08/2016 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Matthew B. Henneman
Respondent(s): Richard Hill
Respondent Lawyers(s): Richard Wayne Hill
Arbitrator(s): Arthur H. Geffen, Mark A. Myers, Edward J. Lynch
Hearing Site: Dallas, TX
| | |
| 14-00146 | 06/10/2014 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Christopher Griesmeyer
Respondent(s): Brandon Cortez
Respondent Lawyers(s): Brandon Matthew Cortez
Arbitrator(s): Edward J. Lynch
Hearing Site: Dallas, TX
| | |
| 12-02576 | 12/02/2013 | Claimant(s): RBC Capital Markets LLC
Claimant Lawyers(s): Mark L. Johansen
Respondent(s): Kelly Rigas
Respondent Lawyers(s): R. Rogge Dunn
Arbitrator(s): Keith L. Saunders, Edward J. Lynch, Joseph Neal Richardson
Hearing Site: Dallas, TX
| | |
| 12-03101 | 06/03/2013 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Beverly Jo Slaughter
Respondent(s): Robert Davis
Respondent Lawyers(s): Marc J. Fratter
Arbitrator(s): Edward J. Lynch
Hearing Site: Dallas, TX
| | |
| 11-02785 | 05/04/2012 | Claimant(s): Drew Springer
Claimant Lawyers(s): John T. Gerhart
Respondent(s): FSC Securities Corporation
Respondent Lawyers(s): Justin J. D'Elia
Arbitrator(s): William E. Hartsfield, Terry Landry, Edward J. Lynch
Hearing Site: Dallas, TX
| | |
| 10-02566 | 12/07/2011 | Claimant(s): James Nunley
Claimant Lawyers(s): Mark A.J. Fassold
Respondent(s): EdgeTrade LLC, EdgeTrade., EdgeTrade.Com., Knight Capital Group., Knight Direct LLC
Respondent Lawyers(s): Jason Marlin
Arbitrator(s): Sheldon F. Schobert, G. Maynard Green, Edward J. Lynch
Hearing Site: Dallas, TX
| | |
