19-01613 | 11/14/2019 | Claimant(s): Jerry Etter Claimant Lawyers(s): Scott Etter Respondent(s): Todd Hasie Respondent Lawyers(s): Eric Chen Arbitrator(s): Joseph Neal Richardson Hearing Site: Dallas, TX
| | $88 |
19-00085 | 10/30/2019 | Claimant(s): Palm Beach Equity Financing Fund Claimant Lawyers(s): John W. Townshend Respondent(s): TD Ameritrade Clearing. Respondent Lawyers(s): Alison M. Gutierrez Arbitrator(s): Mary Elizabeth Skelnik, Sheldon Weinhaus, Joseph Neal Richardson Hearing Site: Little Rock, AR
| | $0 |
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 |
17-02221 | 12/18/2018 | Claimant(s): George Porter, George W. Porter, Jr., IRA, Porter Living Trust Claimant Lawyers(s): Stephen D. Wadsworth Respondent(s): Morgan Keegan & Company Respondent Lawyers(s): Kathryn R. Eldridge Arbitrator(s): Mark L. Williams, Mary Elizabeth Skelnik, Joseph Neal Richardson Hearing Site: Birmingham, AL
| | $221,663 |
15-02205 | 05/25/2018 | Claimant(s): Amy Mader, Florencio Merced, Miguel Mader, Solimar Burgos Claimant Lawyers(s): Luis E. Minana, W. Scott Greco Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR Respondent Lawyers(s): Donald F. Winningham, Guillermo J. Bobonis Arbitrator(s): Monica I. Salis, Leonard Michael Cusano, Joseph Neal Richardson Hearing Site: San Juan, PR
| | $609,500 |
17-01117 | 12/06/2017 | Claimant(s): Jeremy Bardin Claimant Lawyers(s): James G. Lundy Respondent(s): Gainsco Inc., MGA Insurance Company Inc. Respondent Lawyers(s): Drew Nachowiak Arbitrator(s): Dineo Coleman Gary, Joseph Neal Richardson, Charles Robert Elhoff Hearing Site: Dallas, TX
| | Expungement |
16-03022 | 09/19/2017 | Claimant(s): Smith Walker Claimant Lawyers(s): David A. Walton Respondent(s): E*Trade Securities LLC, E*Trade Clearing LLC Respondent Lawyers(s): Meredith Hoffman, Esq. Arbitrator(s): G. Maynard Green, Robert J. Gregory, Joseph Neal Richardson Hearing Site: Dallas, TX
| | $0 |
16-03384 | 06/20/2017 | Claimant(s): Brenda Anderson, John Anderson Claimant Lawyers(s): Richard S. Frankowski Respondent(s): Jerry McCutchen, Berthel, Fisher & Company Financial Serv, Next Financial Group. Respondent Lawyers(s): Mickey B. Wright Arbitrator(s): Harvey R. Linder, Mary Elizabeth Skelnik, Joseph Neal Richardson Hearing Site: Birmingham, AL
| | Dismissed by Rule 12206 |
16-03568 | 05/23/2017 | Claimant(s): Jack Shewmake Claimant Lawyers(s): Richard S. Frankowski Respondent(s): Bryce Willis, Terry Bagwell, MetLife Securities Inc. Respondent Lawyers(s): Kathryn R. Eldridge, Mickey B. Wright, Paul M. James Arbitrator(s): Karen Roberts Washington, Debra Black Leo, Joseph Neal Richardson Hearing Site: Birmingham, AL
| | Dismissed by Rule 12206 |
16-00078 | 02/09/2017 | Claimant(s): Marcia Barfield IRA, Norman J. Barfield IRA Claimant Lawyers(s): Kirk G. Smith Respondent(s): IMS Securities. Respondent Lawyers(s): Martin S. Schexnayder Arbitrator(s): Douglas Wade Carvell, Joseph Neal Richardson, Richard Thomas Huston Hearing Site: Dallas, TX
| | Expungement |