| 21-02603 | 02/16/2023 | Claimant(s): Estate of Gloria Elizondo Altamirano
Claimant Lawyers(s): Robert H. Rex
Respondent(s): LPL Financial LLC, Jose Cruz
Respondent Lawyers(s): Jack D. Ballard
Arbitrator(s): Brian James Tagtmeier, Stephen Andrew McCarthy, John Donahue Sullivan
Hearing Site: Houston, TX
|  | Expungement |
| 20-02670 | 12/22/2022 | Claimant(s): Moody National DST Sponsor
Claimant Lawyers(s): Douglas A. Daniels
Respondent(s): Charles Schwab & Co.., Zachariah Bickers
Respondent Lawyers(s): Jack D. Ballard
Arbitrator(s): Stephanie E. Simmons, William Guy Arnot, Stephen Neil Foster
Hearing Site: Houston, TX
| | $0 |
| 20-03694 | 07/14/2022 | Claimant(s): Juan Rodriguez, Myriam Gonzalez
Claimant Lawyers(s): Jeffrey D. Anderson
Respondent(s): Antonio ReynaL Financial LLC, Edward Miller, Financial Resources Group Investment Srv
Respondent Lawyers(s): Jack D. Ballard
Arbitrator(s): G. Maynard Green, Danielle L. Hargrove, Elena Dilorio
Hearing Site: Houston, TX
| | $2,573,340 |
| 20-01114 | 11/10/2021 | Claimant(s): Richard Dudley, R. Dudley on behalf of his IRA accts, R. Dudley AIF for spouse, Anna A. Dudley
Claimant Lawyers(s): Jason S. Haselkorn
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jack D. Ballard
Arbitrator(s): Andrea U. Calve, Mary Elizabeth Skelnik, Charles McGarry
Hearing Site: Dallas, TX
| | Expungement |
| 20-03843 | 09/30/2021 | Claimant(s): David Furlong
Claimant Lawyers(s): David Furlong
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Jack D. Ballard
Arbitrator(s): Marjorie C. Johnson, Stephanie E. Simmons, Mina Banerjee
Hearing Site: Houston, TX
| | $0 |
| 19-00021 | 05/14/2020 | Claimant(s): Earnest Frederick, Timothy Moeller
Claimant Lawyers(s): Samuel B. Edwards
Respondent(s): LPL Financial LLC, First National Bank of Shiner
Respondent Lawyers(s): Jack D. Ballard
Arbitrator(s): Mary Esther Escobedo, Montie G. Grimes, Shannon Lyn Mays
Hearing Site: Houston, TX
| | $0 |
| 17-00904 | 11/13/2019 | Claimant(s): Juan Angel Rodriguez, Myriam Gonzalez
Claimant Lawyers(s): Lawrence Bradley Hancock
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jack D. Ballard
Arbitrator(s): Maryanne M. Esser, Malcolm Edwin Whittaker, Allan R. Lazor
Hearing Site: Houston, TX
| | $1,554,840 |
| 14-02745 | 10/15/2015 | Claimant(s): Ida Mae Shawn, Julie Fowler
Claimant Lawyers(s): Kevin Edmundson
Respondent(s): Cecil Ross, Raymond James Financial Services.
Respondent Lawyers(s): Jack D. Ballard
Arbitrator(s): Harry J Saginaw, Keith L. Saunders, Jill M. Zacha
Hearing Site: Dallas, TX
| | $100,000 |
| 10-03943 | 07/18/2013 | Claimant(s): Timothy Stephens
Claimant Lawyers(s): Matthew B. Henneman
Respondent(s): Walter Schneider, Barclays Capital Inc., Barclays Wealth
Respondent Lawyers(s): Jack D. Ballard
Arbitrator(s): Larry J. Sklar, Daniel J. Pagnano, Deirdre Renee Fuller
Hearing Site: Houston, TX
| | Amended Stipulated Award and Expungement |
| 12-00559 | 02/12/2013 | Claimant(s): Ema Russell, Hal Boyd, Juvenile Diabetes Research Foundation, The American Cancer Society., The American Foundation for Aids Resch., The Arthritis Foundation, South Central, The Estate of Charles A. Carr, R.L. Donald, Jr. Family Trust, Jr. Gen. Skip. Marital Trst
Claimant Lawyers(s): William A Wollard
Respondent(s): Wells Fargo Advisors, Danny Barlow, Robert Barlow, Executor of the Estate Neva Henderson Do, TTEE of Neva Henderson Donald Liv Trust
Respondent Lawyers(s): C. Jane Thacker, Jack D. Ballard
Arbitrator(s): Edward J. Lynch, Mary Elizabeth Skelnik, Clement Osimetha
Hearing Site: Dallas, TX
| | Stipulated Award and Expungement |
