| 21-00762 | 07/05/2022 | Claimant(s): Alfred Nagel, Carol Nagel
Claimant Lawyers(s): Kyle M Kulzer
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Rebecca E. Swenson
Arbitrator(s): Mark L. Williams, Brian James Tagtmeier, Russell Caldwell Ducoff
Hearing Site: Houston, TX
|  | Expungement |
| 21-02315 | 06/09/2022 | Claimant(s): Emily Eisenhauer
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Justin E. Condit
Arbitrator(s): Mark L. Williams
Hearing Site: Dallas, TX
| | |
| 21-01186 | 11/17/2021 | Claimant(s): Leah Butterworth
Claimant Lawyers(s): Steve R. Pitzner
Respondent(s): Christopher Swan, BB&T Securities
Respondent Lawyers(s): David M Clem
Arbitrator(s): Mark L. Williams
Hearing Site: Dallas, TX
| | $0 |
| 20-01419 | 07/15/2021 | Claimant(s): Raymond Borota
Claimant Lawyers(s): Jennifer P. Farrar
Respondent(s): Aegis Capital Corp.
Respondent Lawyers(s): Kevin Meade
Arbitrator(s): Mark L. Williams
Hearing Site: Dallas, TX
| | |
| 20-00961 | 06/18/2021 | Claimant(s): Theresa McTague
Claimant Lawyers(s): William Pete Nacy
Respondent(s): James Louderbaugh, Oppenheimer & Co..
Respondent Lawyers(s): Nicola A. Murphy
Arbitrator(s): Mark L. Williams, Karen Roberts Washington, Robert G Cass
Hearing Site: Oklahoma City, OK
| | Expungement |
| 18-04069 | 10/20/2020 | Claimant(s): Ronald W. Stone
Claimant Lawyers(s): Jason Albin
Respondent(s): Clifton Myers, Clifton Myers Financial Advisory.
Respondent Lawyers(s): Clifton Wayne Myers
Arbitrator(s): Mark L. Williams, Robert L. Chisolm, Don G Miller
Hearing Site: Dallas, TX
| | $455,525 |
| 19-00301 | 07/17/2020 | Claimant(s): Larry Hauskins, PELCO., Estate of Robert Kiar
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Fred N. Knopf
Arbitrator(s): Mark L. Williams, Richard William Cryar, Marlo Best
Hearing Site: New Orleans, LA
| | $0 |
| 17-01230 | 03/20/2019 | Claimant(s): Richard Malouf, Stephanie Malouf, Gavin J. Malouf, Richard J. Malouf II, Sunny N. Malouf, Richard John Malouf IRA, Stephenie Leanne Malouf IRA, 2009 Strait Lane Family LP, RJM 2008 Irrevocable Trust, Richard John Malouf II Trust, Stephenie L. Malouf TTEE U/A
Claimant Lawyers(s): Samuel B. Edwards
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): David I. Monteiro
Arbitrator(s): Mark L. Williams, Mary Elizabeth Skelnik, Zachary Charles Haston
Hearing Site: Dallas, TX
| | Expungement |
| 18-02004 | 03/20/2019 | Claimant(s): Robbie Slaughter
Claimant Lawyers(s): Frank Hill
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Tahesin Somji
Respondent Lawyers(s): Bruce W. Day
Arbitrator(s): Mark L. Williams, Robert J. Gregory, Don G Miller
Hearing Site: Dallas, TX
| | Expungement |
| 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 |
