| 21-00028 | 05/11/2022 | Claimant(s): Ian Delahunty
Claimant Lawyers(s): Michael S. Hill
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Karen Roberts Washington, Will Pryor, Subvet West
Hearing Site: Dallas, TX
|  | $365,425 |
| 20-01382 | 05/04/2022 | Claimant(s): BAG Securities Fund, L.P., GovPlus Fund AI, NorCap Diversified Premium Fund, NorCap Equity Plus Fund
Claimant Lawyers(s): David E. Robbins
Respondent(s): Jefferies LLC
Respondent Lawyers(s): Francesca Brody
Arbitrator(s): David A. Schuler, Eric Ross Cromartie, Christopher John Rowland
Hearing Site: Dallas, TX
| | $0 |
| 20-03312 | 04/13/2022 | Claimant(s): Clinton Anderson
Claimant Lawyers(s): Christopher W. Patton
Respondent(s): Blair Horne, Morgan Stanley
Respondent Lawyers(s): John Bersin
Arbitrator(s): Andrea U. Calve, Lawrence R. Maxwell, Will Pryor
Hearing Site: Dallas, TX
| | $211,810 |
| 21-01649 | 04/12/2022 | Claimant(s): John Reagan
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): David A. Schuler
Hearing Site: Dallas, TX
| | |
| 21-01848 | 04/08/2022 | Claimant(s): Michael Escobar
Claimant Lawyers(s): James P. Galvin
Respondent(s): Mutual Of Omaha Investor Services.
Respondent Lawyers(s): Trenten P. Bausch
Arbitrator(s): Kurt L. Smith, Robert J. Gregory, Jay M. Vogelson
Hearing Site: Dallas, TX
| | |
| 19-03788 | 03/31/2022 | Claimant(s): De Mille RT DTD 1/26/93, De Mille TTEE
Claimant Lawyers(s): Matthew N. Thibaut
Respondent(s): Guy Harrigan, James Teegarden, Lion Street Financial, Triad Advisors LLC
Respondent Lawyers(s): James A. McGovern, Kathy M. Klock
Arbitrator(s): Nicole T. LeBoeuf, Phyllis Sandra Hill, Don G Miller
Hearing Site: Dallas, TX
| | Expungement |
| 21-01425 | 03/16/2022 | Claimant(s): Gary Zimmerman
Claimant Lawyers(s): Bryan T. Forman
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Lawrence R. Maxwell
Hearing Site: Dallas, TX
| | $86,000 |
| 20-03243 | 03/10/2022 | Claimant(s): Shaun Hayes
Claimant Lawyers(s): William M. Dailey
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Laura A. Pizzitola
Arbitrator(s): David A. Schuler
Hearing Site: Dallas, TX
| | |
| 21-01480 | 02/25/2022 | Claimant(s): James Kennedy
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): VSR Financial Services., Dominion Capital Corporation
Respondent Lawyers(s): David Feldstein, Douglas W. Powell
Arbitrator(s): David A. Schuler
Hearing Site: Dallas, TX
| | |
| 20-03418 | 02/17/2022 | Claimant(s): Christopher Lee
Claimant Lawyers(s): Christopher Lee
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): David B. Dyer, Andrea U. Calve, Douglas Wade Carvell
Hearing Site: Dallas, TX
| | |
