| 21-00028 | 05/11/2022 | Claimant(s): Ian Delahunty
Claimant Lawyers(s): Michael S. Hill
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Karen Roberts Washington, Will Pryor, Subvet West
Hearing Site: Dallas, TX
|  | $365,425 |
| 20-01382 | 05/04/2022 | Claimant(s): BAG Securities Fund, L.P., GovPlus Fund AI, NorCap Diversified Premium Fund, NorCap Equity Plus Fund
Claimant Lawyers(s): David E. Robbins
Respondent(s): Jefferies LLC
Respondent Lawyers(s): Francesca Brody
Arbitrator(s): David A. Schuler, Eric Ross Cromartie, Christopher John Rowland
Hearing Site: Dallas, TX
| | $0 |
| 20-03312 | 04/13/2022 | Claimant(s): Clinton Anderson
Claimant Lawyers(s): Christopher W. Patton
Respondent(s): Blair Horne, Morgan Stanley
Respondent Lawyers(s): John Bersin
Arbitrator(s): Andrea U. Calve, Lawrence R. Maxwell, Will Pryor
Hearing Site: Dallas, TX
| | $211,810 |
| 19-03788 | 03/31/2022 | Claimant(s): De Mille RT DTD 1/26/93, De Mille TTEE
Claimant Lawyers(s): Matthew N. Thibaut
Respondent(s): Guy Harrigan, James Teegarden, Lion Street Financial, Triad Advisors LLC
Respondent Lawyers(s): James A. McGovern, Kathy M. Klock
Arbitrator(s): Nicole T. LeBoeuf, Phyllis Sandra Hill, Don G Miller
Hearing Site: Dallas, TX
| | Expungement |
| 21-01425 | 03/16/2022 | Claimant(s): Gary Zimmerman
Claimant Lawyers(s): Bryan T. Forman
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Lawrence R. Maxwell
Hearing Site: Dallas, TX
| | $86,000 |
| 19-02728 | 12/30/2021 | Claimant(s): David Farrell, Holly Farrell
Claimant Lawyers(s): Samuel Bonderoff
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Melissa Gworek
Arbitrator(s): Andrea U. Calve, Karen Roberts Washington, Don G Miller
Hearing Site: Dallas, TX
| | $0 |
| 20-00461 | 12/10/2021 | Claimant(s): Brian Bertrand
Claimant Lawyers(s): Kristian Kraszewski
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Gregory Scanlon
Arbitrator(s): Bill Lamoreaux
Hearing Site: Dallas, TX
| | $0 |
| 21-00183 | 12/07/2021 | Claimant(s): Philip Hamilton
Claimant Lawyers(s): Walter Musgrove
Respondent(s): Chesha Traylor
Respondent Lawyers(s): Scott A. Ritcheson
Arbitrator(s): Michael Wayne Johnston, Valarie Wright, John Gary Langford
Hearing Site: Dallas, TX
| | Expungement |
| 21-01186 | 11/17/2021 | Claimant(s): Leah Butterworth
Claimant Lawyers(s): Steve R. Pitzner
Respondent(s): Christopher Swan, BB&T Securities
Respondent Lawyers(s): David M Clem
Arbitrator(s): Mark L. Williams
Hearing Site: Dallas, TX
| | $0 |
| 19-02376 | 11/15/2021 | Claimant(s): Jim Fletcher
Claimant Lawyers(s): Joshua C. Spencer
Respondent(s): Edward Jones
Respondent Lawyers(s): Donald R. Littlefield
Arbitrator(s): Nicole T. LeBoeuf, Staci Lynette Glenn, Penny R Robe
Hearing Site: Dallas, TX
| | $0 |
