| 20-01557 | 03/15/2021 | Claimant(s): John Canada
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): New England Securities Corporation
Respondent Lawyers(s): Martin Harris
Arbitrator(s): Maxel (Bud) B Silverberg
Hearing Site: Dallas, TX
| | |
| 20-01779 | 02/23/2021 | Claimant(s): Kevin Piker
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Tiana M Towns
Arbitrator(s): Maxel (Bud) B Silverberg
Hearing Site: Kansas City, MO
| | |
| 18-04389 | 09/16/2019 | Claimant(s): Jeff Davis
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Timothy L. Moore
Arbitrator(s): Maxel (Bud) B Silverberg
Hearing Site: Dallas, TX
| | |
| 19-00318 | 09/03/2019 | Claimant(s): Wesley Cumbie
Claimant Lawyers(s): Matthew Wolper
Respondent(s): MML Investors Services
Respondent Lawyers(s): William P. Thornton
Arbitrator(s): Maxel (Bud) B Silverberg
Hearing Site: Dallas, TX
| | |
| 14-00698 | 07/29/2016 | Claimant(s): Heath Dowell
Claimant Lawyers(s): W.D. Masterson
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jannell M. Ahnert
Arbitrator(s): Maxel (Bud) B. Silverberg
Hearing Site: Dallas, TX
| | |
| 13-02838 | 12/17/2015 | Claimant(s): George Shelton
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Andrew R. Park
Arbitrator(s): Maxel (Bud) B. Silverberg, James L. Goble, Jeffrey Richard Chiappetta
Hearing Site: Dallas, TX
|  | Expungement |
| 13-02680 | 04/29/2014 | Claimant(s): Robert Burns, Robert E. Burns IRA
Claimant Lawyers(s): Keith L. Griffin
Respondent(s): Geneos Wealth Management.
Respondent Lawyers(s): K. Clark Phipps
Arbitrator(s): Maxel (Bud) B. Silverberg
Hearing Site: Oklahoma City, OK
| | $300 |
| 13-00534 | 02/10/2014 | Claimant(s): William Fitzpatrick
Claimant Lawyers(s): Richard A. Lewins
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Susan E. Sheely
Arbitrator(s): Maxel (Bud) B. Silverberg, C. Sumpter Logan, George Young Banks
Hearing Site: Dallas, TX
| | $0 |
| 08-03816 | 07/29/2011 | Claimant(s): Othello Capital GP, Othello Capital Partners LP
Claimant Lawyers(s): Janet K. DeCosta
Respondent(s): Jackson Su, Penson Financial Services., Othello Capital Management LLC
Respondent Lawyers(s): Elizabeth A. Frohlich, Janet K. DeCosta
Arbitrator(s): Mark I Preston, Maxel (Bud) B. Silverberg, Theodore Mack
Hearing Site: Dallas, TX
| | $250,000 |
| 10-02266 | 06/01/2011 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): David Wilson
Respondent Lawyers(s): David P. Wilson
Arbitrator(s): Maxel (Bud) B. Silverberg
Hearing Site: Little Rock, AR
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