| 17-01230 | 03/20/2019 | Claimant(s): Richard Malouf, Stephanie Malouf, Gavin J. Malouf, Richard J. Malouf II, Sunny N. Malouf, Richard John Malouf IRA, Stephenie Leanne Malouf IRA, 2009 Strait Lane Family LP, RJM 2008 Irrevocable Trust, Richard John Malouf II Trust, Stephenie L. Malouf TTEE U/A
Claimant Lawyers(s): Samuel B. Edwards
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): David I. Monteiro
Arbitrator(s): Mark L. Williams, Mary Elizabeth Skelnik, Zachary Charles Haston
Hearing Site: Dallas, TX
|  | Expungement |
| 18-02004 | 03/20/2019 | Claimant(s): Robbie Slaughter
Claimant Lawyers(s): Frank Hill
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Tahesin Somji
Respondent Lawyers(s): Bruce W. Day
Arbitrator(s): Mark L. Williams, Robert J. Gregory, Don G Miller
Hearing Site: Dallas, TX
| | Expungement |
| 17-00612 | 02/28/2019 | Claimant(s): Sandi Hamm
Claimant Lawyers(s): Kerry L. Pedigo
Respondent(s): Erick Kuebler, J.P. Morgan Securities
Respondent Lawyers(s): Matthew Baum, Terry R. Weiss
Arbitrator(s): Todd R. Gough, Dineo Coleman Gary, Mary Elizabeth Skelnik
Hearing Site: Dallas, TX
| | $114,561 |
| 18-01792 | 02/08/2019 | Claimant(s): Sylvia Riley
Claimant Lawyers(s): David C. Garrett
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Joelle Simms
Arbitrator(s): Jan Glenn Valecka, David A. Schuler, Subvet West
Hearing Site: Dallas, TX
| | Expungement |
| 17-03163 | 01/14/2019 | Claimant(s): Jamie Sorenson, Kevin Sorenson, Ashlan Sorenson, Tanner A. Sorenson
Claimant Lawyers(s): Richard H. Elliott
Respondent(s): Foresters Financial Services.
Respondent Lawyers(s): Susan M. Kelleher
Arbitrator(s): Joseph Neal Richardson
Hearing Site: Dallas, TX
| | Dismissed by Rule 12206 |
| 17-02241 | 12/31/2018 | Claimant(s): Thomas Peterson
Claimant Lawyers(s): Kalju Nekvasil
Respondent(s): Hilltop Securities Inc.
Respondent Lawyers(s): Jonathan D. Neerman
Arbitrator(s): Louis J. Weber, Edward Bradbury Cloutman, Larry Adair
Hearing Site: Dallas, TX
| | $0 |
| 17-03378 | 12/11/2018 | Claimant(s): Kantilal Desai, Nilam Desai
Claimant Lawyers(s): Kantilal P. Desai
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Joseph L. Calabrese
Arbitrator(s): G. Maynard Green, Edward Bradbury Cloutman, Will Pryor
Hearing Site: Dallas, TX
| | Dismissed by Rule 12504 |
| 18-00104 | 09/14/2018 | Claimant(s): Steve Potysman
Claimant Lawyers(s): Steve Potysman
Respondent(s): Bryce Danley
Respondent Lawyers(s): Edward A. Walton
Arbitrator(s): Lawrence R. Maxwell
Hearing Site: Dallas, TX
| | $0 |
| 17-00629 | 09/12/2018 | Claimant(s): Joe Zuech, Wendy Zuech
Claimant Lawyers(s): Scott L. Silver
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): Gianluca Morello
Arbitrator(s): Henry J. Ackels, Mary Elizabeth Skelnik, Larry Adair
Hearing Site: Dallas, TX
| | Expungement |
| 17-00648 | 08/22/2018 | Claimant(s): Robert Price, Robert Alan Price, IRA
Claimant Lawyers(s): Theodore C. Houdek
Respondent(s): KCD Financial.
Respondent Lawyers(s): Charles M. O'Rourke
Arbitrator(s): Lawrence R. Maxwell, James W. Kerr, Christian Dennie
Hearing Site: Dallas, TX
| | Expungement |
