| 21-00917 | 10/29/2021 | Claimant(s): Lawrence Redell
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Goldman, Sachs and Company
Respondent Lawyers(s): C. Evan Stewart
Arbitrator(s): Frances Johnson Wright
Hearing Site: Dallas, TX
| | |
| 21-01136 | 10/26/2021 | Claimant(s): LPL Financial LLC
Claimant Lawyers(s): John W. Joyce
Respondent(s): Atif Mughal
Respondent Lawyers(s): Atif Iqbal Mughal
Arbitrator(s): Douglas Wade Carvell
Hearing Site: Dallas, TX
| | |
| 20-02764 | 10/14/2021 | Claimant(s): Richard Kincheloe
Claimant Lawyers(s): Samuel Edwards
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Charlotte S. Wolfe
Arbitrator(s): Robert J. Gregory
Hearing Site: Dallas, TX
|  | $50,000 |
| 20-03644 | 10/12/2021 | Claimant(s): Derrick Colby
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Jeffrey S. Dunlap
Arbitrator(s): Andrea U. Calve
Hearing Site: Dallas, TX
| | |
| 20-01263 | 10/04/2021 | Claimant(s): Raymond Borota
Claimant Lawyers(s): Jennifer P. Farrar
Respondent(s): Emmett A Larkin Company., Pacific Cortez Securities Incorporated, Salomon Grey Financial Corporation
Respondent Lawyers(s): Gordon Hing, Kyle Rowe, Troy Flowers
Arbitrator(s): Eric Ross Cromartie
Hearing Site: Dallas, TX
| | |
| 19-02790 | 10/04/2021 | Claimant(s): Bryan Bernard
Claimant Lawyers(s): Michael L. Forman
Respondent(s): Douglas Williams, Edward Jones
Respondent Lawyers(s): Donald R. Littlefield
Arbitrator(s): John Kenneth Popham
Hearing Site: Dallas, TX
| | $0 |
| 21-00348 | 09/28/2021 | Claimant(s): Kristopher Etter
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): IMS Securities.
Respondent Lawyers(s): Jackie Wadsworth
Arbitrator(s): Andrea U. Calve
Hearing Site: Dallas, TX
| | |
| 20-03678 | 09/23/2021 | Claimant(s): Beyhan Kocatas, Eray Alkis, Erkan Alkis, Raymond Tanza, Steve Skiles
Claimant Lawyers(s): Jeff M. Meyerson
Respondent(s): TD Ameritrade Clearing., TD Ameritrade.
Respondent Lawyers(s): Gilbert R. Serota
Arbitrator(s): Joseph Neal Richardson, John Gary Langford, Scott F Stains
Hearing Site: Dallas, TX
| | $0 |
| 20-01186 | 08/30/2021 | Claimant(s): Douglas Wall
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Patricia Beaujean Lehtola
Hearing Site: Dallas, TX
| | |
| 18-03543 | 08/13/2021 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Jack D. Ballard
Respondent(s): Kimberly Rule
Respondent Lawyers(s): Kimberly Kay Rule
Arbitrator(s): Frances Johnson Wright, Kenneth Joe Gold, Robert E. Luxen
Hearing Site: Dallas, TX
| | |
