| 20-03135 | 08/06/2021 | Claimant(s): Wesley Sorensen
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Principal Securities.
Respondent Lawyers(s): Kathryn Roe Eldridge
Arbitrator(s): Robert J. Gregory
Hearing Site: Dallas, TX
| | |
| 19-03553 | 08/02/2021 | Claimant(s): Camille King, Scottow King
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jeff Goldman
Arbitrator(s): Andrea U. Calve, Mary Elizabeth Skelnik, Demetria Charissee Howard
Hearing Site: Dallas, TX
|  | $0 |
| 20-02851 | 07/30/2021 | Claimant(s): Maria Waters, Marlon Waters
Claimant Lawyers(s): Maria R. Waters, Marlon K. Waters
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Noah D. Sorkin
Arbitrator(s): Brian James Tagtmeier, Richard Wayne Rigdon, Kendra Johnson
Hearing Site: Dallas, TX
| | $0 |
| 20-01499 | 07/22/2021 | Claimant(s): Jennea Augsbury, Rick Augsbury
Claimant Lawyers(s): Barrett T. Robin
Respondent(s): Gregory Rachele
Respondent Lawyers(s): Gregory W. Rachele
Arbitrator(s): Robert L. Yeager, Joseph A. Vicario, Albert Joseph Roberts
Hearing Site: Dallas, TX
| | $807,668 |
| 20-03029 | 07/16/2021 | Claimant(s): Troy Chesnut
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Avantax Investment Services.
Respondent Lawyers(s): Judith Knudsen
Arbitrator(s): C. Sumpter Logan
Hearing Site: Dallas, TX
| | |
| 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
| | |
| 21-00641 | 07/09/2021 | Claimant(s): Charlie Moreno
Claimant Lawyers(s): Charlie E. Moreno
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Amanda Wright
Arbitrator(s): Karen Roberts Washington
Hearing Site: Dallas, TX
| | $0 |
| 20-00922 | 07/08/2021 | Claimant(s): Angie Villemarette, Barbara Belaire, Betty Simon, Bobby Belaire, Brenda Bridges, Celia Musick, Charles Babin, Charles Pope, Charlie Hayek, Craig Nelson, Cynthia Nelson, David Herndon, Dean Simon, Edna Belaire, Frankie Bono, Hazel Decoto, Huey Decoto, Isom Cagle, J. Mothershed, Jimmie Bridges, Joann Herndon, Joyce Cagle, Kathleen Gilmartin, Kenneth Musick, Lennard Belaire, Michael Teague, Millicent Babin, Steven Graham, Susan Lankford, Victoria Guennewig, The Estate of Gerald Brauser, Craig D. Nelson IRA, David E. Herndon IRA, Dudley Devore IRA, Frankie Wayne Bono IRA, George M. Glantz IRA, Huey P. DeCoto IRA, James T. Dorris IRA, Joyce E. Cagle IRA, Kenneth Musick IRA, Lennarde J. Belaire IRA, Richard Griswold IRA, Susan Kay Lankford IRA, Thomas Guennewig IRA, Walter J. Eldredge IRA, George M. Glantz Revocable Trust
Claimant Lawyers(s): Donald L. Ferguson
Respondent(s): Pershing LLC
Respondent Lawyers(s): Jeffrey J. Chapman
Arbitrator(s): Synthia L. Taylor, Eric Ross Cromartie, Anisha Kinra
Hearing Site: Dallas, TX
| | $648,543 |
| 20-03509 | 06/21/2021 | Claimant(s): Shane Smith
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Transamerica Capital.
Respondent Lawyers(s): Katherine C. Donlon
Arbitrator(s): David A. Schuler
Hearing Site: Dallas, TX
| | |
| 20-02934 | 06/14/2021 | Claimant(s): David Davis
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Banc One Securities Corporation
Respondent Lawyers(s): Gregory Johnson
Arbitrator(s): C. Sumpter Logan
Hearing Site: Dallas, TX
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