| 20-03365 | 11/11/2021 | Claimant(s): Matthew Nekuza
Claimant Lawyers(s): Henry Simpson
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Anthony L. Valenzuela
Arbitrator(s): Joseph A. Vicario, Joseph Neal Richardson, Brandy Kearney Chambers
Hearing Site: Dallas, TX
|  | $0 |
| 20-01114 | 11/10/2021 | Claimant(s): Richard Dudley, R. Dudley on behalf of his IRA accts, R. Dudley AIF for spouse, Anna A. Dudley
Claimant Lawyers(s): Jason S. Haselkorn
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jack D. Ballard
Arbitrator(s): Andrea U. Calve, Mary Elizabeth Skelnik, Charles McGarry
Hearing Site: Dallas, TX
| | Expungement |
| 20-02767 | 11/10/2021 | Claimant(s): Beverly R. McCullough, Thomas W. McCullough
Claimant Lawyers(s): Kirk G. Smith
Respondent(s): KCD Financial.
Respondent Lawyers(s): Charles M. O'Rourke
Arbitrator(s): William A. Fynes, Mary Elizabeth Skelnik, Melissa Nycole Hearon
Hearing Site: Dallas, TX
| | Expungement |
| 20-02764 | 10/14/2021 | Claimant(s): Richard Kincheloe
Claimant Lawyers(s): Samuel Edwards
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Charlotte S. Wolfe
Arbitrator(s): Robert J. Gregory
Hearing Site: Dallas, TX
| | $50,000 |
| 19-02790 | 10/04/2021 | Claimant(s): Bryan Bernard
Claimant Lawyers(s): Michael L. Forman
Respondent(s): Douglas Williams, Edward Jones
Respondent Lawyers(s): Donald R. Littlefield
Arbitrator(s): John Kenneth Popham
Hearing Site: Dallas, TX
| | $0 |
| 20-03678 | 09/23/2021 | Claimant(s): Beyhan Kocatas, Eray Alkis, Erkan Alkis, Raymond Tanza, Steve Skiles
Claimant Lawyers(s): Jeff M. Meyerson
Respondent(s): TD Ameritrade Clearing., TD Ameritrade.
Respondent Lawyers(s): Gilbert R. Serota
Arbitrator(s): Joseph Neal Richardson, John Gary Langford, Scott F Stains
Hearing Site: Dallas, TX
| | $0 |
| 19-03553 | 08/02/2021 | Claimant(s): Camille King, Scottow King
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jeff Goldman
Arbitrator(s): Andrea U. Calve, Mary Elizabeth Skelnik, Demetria Charissee Howard
Hearing Site: Dallas, TX
| | $0 |
| 20-02851 | 07/30/2021 | Claimant(s): Maria Waters, Marlon Waters
Claimant Lawyers(s): Maria R. Waters, Marlon K. Waters
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Noah D. Sorkin
Arbitrator(s): Brian James Tagtmeier, Richard Wayne Rigdon, Kendra Johnson
Hearing Site: Dallas, TX
| | $0 |
| 20-01499 | 07/22/2021 | Claimant(s): Jennea Augsbury, Rick Augsbury
Claimant Lawyers(s): Barrett T. Robin
Respondent(s): Gregory Rachele
Respondent Lawyers(s): Gregory W. Rachele
Arbitrator(s): Robert L. Yeager, Joseph A. Vicario, Albert Joseph Roberts
Hearing Site: Dallas, TX
| | $807,668 |
| 21-00641 | 07/09/2021 | Claimant(s): Charlie Moreno
Claimant Lawyers(s): Charlie E. Moreno
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Amanda Wright
Arbitrator(s): Karen Roberts Washington
Hearing Site: Dallas, TX
| | $0 |
