| 23-02425 | 01/26/2024 | Claimant(s): Kayla Nguyen
Claimant Lawyers(s): Kayla Nguyen
Respondent(s): TD Ameritrade Clearing.
Respondent Lawyers(s): Joelle A. Simms
Arbitrator(s): Lawrence R. Maxwell
Hearing Site: Dallas, TX
|  | $0 |
| 20-02864 | 02/07/2023 | Claimant(s): Dominic Ismert, Ismert, OBO his DSGND Benefit Plan/TOD
Claimant Lawyers(s): Jason Haselkorn
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Gordon C. Young
Arbitrator(s): Henry R Cox, Lawrence R. Maxwell, Nancy S. Brown
Hearing Site: Kansas City, MO
| | $144,425 |
| 21-02831 | 02/02/2023 | Claimant(s): Lawrence Denisoff
Claimant Lawyers(s): Jennifer P. Farrar
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Michael Naccaraato
Arbitrator(s): Lawrence R. Maxwell, Subvet West, Diego Jesus Pena
Hearing Site: Dallas, TX
| | Expungement |
| 21-01193 | 09/28/2022 | Claimant(s): Justin Fraser
Claimant Lawyers(s): David Harrison
Respondent(s): Interactive Brokers LLC
Respondent Lawyers(s): Carlos E. Provencio
Arbitrator(s): Lawrence R. Maxwell, Jeffrey Ackermann, Deborah Johns Tatum
Hearing Site: New Orleans, LA
| | $452,817 |
| 20-01548 | 05/13/2022 | Claimant(s): The JZ Family Trust U/A DTD 01/30/2013
Claimant Lawyers(s): Kirk G. Smith
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Ronak V. Patel
Arbitrator(s): Lawrence R. Maxwell, Robert L Williamson, Ross B. Russell
Hearing Site: Dallas, TX
| | Expungement |
| 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 |
| 21-02117 | 04/05/2022 | Claimant(s): Phillip Rademacher
Claimant Lawyers(s): Linda Broocks
Respondent(s): Charles Kuszmaul, Diane Bythell
Respondent Lawyers(s): John R. Phillips
Arbitrator(s): Lawrence R. Maxwell, Brandon Gordon Kinney, Veronica Sellers
Hearing Site: Kansas City, MO
| | 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 |
| 19-01199 | 01/26/2022 | Claimant(s): Pamela A. Frost IRA
Claimant Lawyers(s): Daniel D'Costa
Respondent(s): Kevin Wilson, Laidlaw & Company (Uk) Ltd.
Respondent Lawyers(s): Kevin Richard Wilson, Richard J. Babnick
Arbitrator(s): Kelley L Cornelius, Ilene T. Gormly, Lawrence R. Maxwell
Hearing Site: Wichita, KS
| | $60,205 |
| 17-02050 | 08/24/2019 | Claimant(s): Adilia Beam, The Estate of Monte Beam
Claimant Lawyers(s): Alan L. Rosca
Respondent(s): Jon Tribbel, Conover Securities Corporation
Respondent Lawyers(s): Gary S. Kessler
Arbitrator(s): Louis J. Weber, Nicole T. LeBoeuf, Lawrence R. Maxwell
Hearing Site: Dallas, TX
| | $0 |
