| 17-02206 | 02/01/2019 | Claimant(s): Beryl Patin, Janis Lakin
Claimant Lawyers(s): Nicholas H. Berg
Respondent(s): Capitol Securities Management.
Respondent Lawyers(s): Janet K. DeCosta
Arbitrator(s): Robert H. Putnam, Lawrence R. Maxwell, Imre Stephen Szalai
Hearing Site: New Orleans, LA
|  | $2,380,660 |
| 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 |
| 17-00648 | 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 |
| 16-01159 | 05/04/2018 | Claimant(s): Todd Benson, Regency Machine Inc.
Claimant Lawyers(s): Ross D. Carmel
Respondent(s): Elvis Rodriguez, Joseph Damsker
Respondent Lawyers(s): Elvis Amable Rodriguez, Joseph Damsker
Arbitrator(s): Louis J. Weber, Jeff Abrams, Lawrence R. Maxwell
Hearing Site: Dallas, TX
| | $0 |
| 17-00372 | 04/26/2018 | Claimant(s): Terry Watkins, Wanda Watkins
Claimant Lawyers(s): Terry W. Watkins
Respondent(s): James Plaster, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Joel M. Everest
Arbitrator(s): G. Maynard Green, Lawrence R. Maxwell, J. Wesley Romine
Hearing Site: Birmingham, AL
| | $0 |
| 16-03580 | 01/08/2018 | Claimant(s): William Jones
Claimant Lawyers(s): Edwin Glenn Waldrop
Respondent(s): David Searcy, Morgan Stanley
Respondent Lawyers(s): Peter S. Fruin, Todd H. Cox
Arbitrator(s): Lawrence R. Maxwell, Matthew Reid Krell, Cynthianther May
Hearing Site: Birmingham, AL
| | $79,370 |
| 15-02110 | 11/23/2016 | Claimant(s): Erin Tessman, Harold Tessman
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): Kris Maksimovich
Respondent Lawyers(s): Jonathan M. Sterling
Arbitrator(s): Lawrence R. Maxwell, Sheldon Weinhaus, Brian James Tagtmeier
Hearing Site: Little Rock, AR
| | Expungement |
| 15-01537 | 04/21/2016 | Claimant(s): Francis Freeman
Claimant Lawyers(s): Vincent J. Booth
Respondent(s): Wells Fargo Advisors, David Matty
Respondent Lawyers(s): Nuviah Shirazi
Arbitrator(s): Lawrence R. Maxwell, Coleman Robert Perry, Michael S. Yauch
Hearing Site: Dallas, TX
| | $0 |
| 14-01541 | 02/18/2016 | Claimant(s): Christel Bengoa Lopez
Claimant Lawyers(s): Robert Wayne Pearce
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Gregg M. McCormick
Arbitrator(s): Thomas M. Campbell, Kenneth R. Starr, Lawrence R. Maxwell
Hearing Site: San Juan, PR
| | $1,449,660 |
| 14-00446 | 09/09/2015 | Claimant(s): Janna Yarbrough
Claimant Lawyers(s): Richard H. Elliott
Respondent(s): Gary Brownfield, Commonwealth Financial Network
Respondent Lawyers(s): Michael G. Brown
Arbitrator(s): William L. Cravens, Richard C. Corse, Lawrence R. Maxwell
Hearing Site: Dallas, TX
| | $65,250 |
