| 21-01490 | 12/23/2022 | Claimant(s): Randy Erickson
Claimant Lawyers(s): Donna Hernandez
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Kathryn Bartolomucci
Arbitrator(s): Ann Blaess Kimball, Andrea U. Calve, Patricia Ann Nolan
Hearing Site: Dallas, TX
|  | $21,303 |
| 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 |
| 15-00060 | 01/15/2016 | Claimant(s): Sharon Boyd
Claimant Lawyers(s): Sharon K. Boyd
Respondent(s): Morgan Stanley DW Inc., Todd Leake
Respondent Lawyers(s): Christine A. Kendrick, Jeffrey I. Nicodemus
Arbitrator(s): Ann Blaess Kimball, Lewis W. Pollok, C. Sumpter Logan
Hearing Site: Dallas, TX
| | $0 |
| 13-03158 | 11/05/2015 | Claimant(s): Lawrence Rosenbloom, Bevrose Investments LP, Emmrose Investments LP, LNR Investments LP, Penrose Investments LP, Rosenbloom Charitable Rem Trust
Claimant Lawyers(s): Richard A. Lewins
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Terry R. Weiss
Arbitrator(s): Ann Blaess Kimball, Andrea U. Calve, Mary Elizabeth Skelnik
Hearing Site: Dallas, TX
| | $0 |
| 12-00016 | 04/01/2014 | Claimant(s): Jay Dickens, Command Decisions., New Territory Investments, Ltd
Claimant Lawyers(s): Bryan T. Forman
Respondent(s): Ricky Mullins, Guardian Direct Energy Programs., Guardian Oil & Gas ., M & W Financial Inc.
Respondent Lawyers(s): Rick Mullins
Arbitrator(s): R. Theodore Moock, Ann Blaess Kimball, Robert Jerry Strader
Hearing Site: Dallas, TX
| | Stipulated Award |
| 12-02386 | 03/13/2013 | Claimant(s): Terri Beddingfield
Claimant Lawyers(s): Richard A. Lewins
Respondent(s): La Salle St. Securities, L.L.C.
Respondent Lawyers(s): Matthew M. Showel
Arbitrator(s): Ann Blaess Kimball, Dineo Coleman Gary, Mayur Harshad Amin
Hearing Site: Dallas, TX
| | Expungement |
| 11-02946 | 09/11/2012 | Claimant(s): Peggy Jones
Claimant Lawyers(s): Ronnie L. Agnew
Respondent(s): Southwest Securities., SWS Financial Services.
Respondent Lawyers(s): Richard A. Illmer
Arbitrator(s): Ann Blaess Kimball, Andrea U. Calve, Melvin H. Wolovits
Hearing Site: Dallas, TX
| | $15,000 |
| 09-04480 | 11/22/2011 | Claimant(s): Jamie Blumenthal, Nancy Blumenthal
Claimant Lawyers(s): Bryan T. Forman
Respondent(s): Brian Wahlfeld, Don Torrillo, Gordon Hing, Emmett A Larkin Company.
Respondent Lawyers(s): David J. Feingold, Joseph Keenan, Nicholas S. Cerni
Arbitrator(s): Ann Blaess Kimball, Richard C. Corse, Jeanne Crandall
Hearing Site: Dallas, TX
| | Expungement |
| 09-00450 | 04/14/2011 | Claimant(s): William Doran
Claimant Lawyers(s): Mark H. How
Respondent(s): J. Miller, RBC Capital Markets LLC
Respondent Lawyers(s): Janiece M. Longoria
Arbitrator(s): Ann Blaess Kimball, G. Maynard Green, Robert E. Treadaway
Hearing Site: Dallas, TX
| | $0 |
| 09-02108 | 10/07/2010 | Claimant(s): Lyn Ashlock
Claimant Lawyers(s): Michael C. Woodward
Respondent(s): Amy Cady, Arvest Asset Management
Respondent Lawyers(s): James R. Polan
Arbitrator(s): Ann Blaess Kimball
Hearing Site: Oklahoma City, OK
| | Stipulated Award and Expungement |
