| 22-00853 | 08/29/2023 | Claimant(s): Irum Abbasi
Claimant Lawyers(s): Irum Abbasi
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Heidi E. VonderHeide
Arbitrator(s): Joseph Neal Richardson, Eric Ross Cromartie, Robert Barton McLeroy
Hearing Site: Dallas, TX
|  | $0 |
| 20-04061 | 01/25/2023 | Claimant(s): David A. Kollar and Shirin Maria Kollar
Claimant Lawyers(s): Bryan T Forman
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): William E. Hartsfield, Joseph Neal Richardson, Patricia Ann Nolan
Hearing Site: Dallas, TX
| | Expungement |
| 19-01855 | 01/28/2022 | Claimant(s): David Frost
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): Ilene T. Gormly, Robert J. Carlson, Joseph Neal Richardson
Hearing Site: Wichita, KS
| | $0 |
| 19-02008 | 12/07/2021 | Claimant(s): Shirley Beneke, William Beneke
Claimant Lawyers(s): Fred Spigarelli
Respondent(s): LPL Financial LLC, Jake Warrington
Respondent Lawyers(s): Jon D. Kaplon
Arbitrator(s): Joseph Neal Richardson
Hearing Site: Kansas City, MO
| | Expungement |
| 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 |
| 20-03678 | 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 |
| 20-04030 | 04/20/2021 | Claimant(s): Harvey Langford, Michael Langford
Claimant Lawyers(s): Kristian Kraszewski
Respondent(s): AXA Advisors
Respondent Lawyers(s): Johan E. Tatoy
Arbitrator(s): Joseph Neal Richardson
Hearing Site: Birmingham, AL
| | Dismissed by Rule 12206 |
| 17-01065 | 03/03/2021 | Claimant(s): Edwina Downum, Patty Berryhill, Winn King
Claimant Lawyers(s): Micah Satterwhite
Respondent(s): Nancy De Leeuw, Perry De Leeuw
Respondent Lawyers(s): Nancy Elaine De Leeuw, Perry De Leeuw
Arbitrator(s): Ann Blaess Kimball, Edward S. Koppman, Joseph Neal Richardson
Hearing Site: Dallas, TX
| | $0 |
| 19-01565 | 04/27/2020 | Claimant(s): Arnaldo Garcia and Sylvia Martinez, Daniel, Eduardo and Barbara Martinez, Eduardo Martinez and Barbara Martinez
Claimant Lawyers(s): Osvaldo Carlo
Respondent(s): Santander Securities LLC
Respondent Lawyers(s): Daniel S. Newman
Arbitrator(s): JoAnne Lewis Nolte, Joseph Neal Richardson, Marc H. Baer
Hearing Site: San Juan, PR
| | Dismissed by Rule 12206/12504 |
| 18-03741 | 01/24/2020 | Claimant(s): Donna Kun
Claimant Lawyers(s): Jonathan Kurta
Respondent(s): Carty & Company.
Respondent Lawyers(s): John J. Heflin
Arbitrator(s): Bill Lamoreaux, Mary Elizabeth Skelnik, Joseph Neal Richardson
Hearing Site: Dallas, TX
| | $0 |
