| 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 |
| 20-00542 | 10/01/2020 | Claimant(s): Jeffrey Dobyns
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Avantax Investment Services.
Respondent Lawyers(s): Judith Knudsen,Deputy General Counsel
Arbitrator(s): Frances Johnson Wright
Hearing Site: Dallas, TX
| | |
| 20-01420 | 09/16/2020 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Scott A La Porta
Respondent(s): Robert Whittenburg
Respondent Lawyers(s): Robert Roy Whittenburg
Arbitrator(s): Robert L. Yeager
Hearing Site: Dallas, TX
| | |
| 20-00764 | 06/12/2020 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Theodore R. Bynum
Respondent(s): Giovanni Malatesta
Respondent Lawyers(s): Giovanni Antonio Malatesta
Arbitrator(s): C. Sumpter Logan
Hearing Site: Dallas, TX
| | |
| 19-03636 | 06/08/2020 | Claimant(s): James Buto
Claimant Lawyers(s): Alexander K. Cox
Respondent(s): Keybanc Capital Markets Inc., UVEST Financial Services Group.
Respondent Lawyers(s): Jeffrey S. Dunlap, Sara Davis
Arbitrator(s): Nicole T. LeBoeuf
Hearing Site: Dallas, TX
| | |
| 19-02241 | 05/29/2020 | Claimant(s): Jerry Wells
Claimant Lawyers(s): Daniel D'Costa
Respondent(s): Jamie Worden, Louis Ambrosio, Worden Capital Management LLC
Respondent Lawyers(s): Michael Utilla
Arbitrator(s): Douglas Wade Carvell
Hearing Site: Dallas, TX
| | $0 |
| 19-03420 | 05/08/2020 | Claimant(s): James Stoker
Claimant Lawyers(s): Steven J. Berry
Respondent(s): Morgan Stanley
Respondent Lawyers(s): George A. Croton
Arbitrator(s): David A. Schuler
Hearing Site: Dallas, TX
| | |
| 19-00490 | 04/20/2020 | Claimant(s): Rachel Niemuth
Claimant Lawyers(s): Laura Hallmon
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): Dineo Coleman Gary, Dianne Connally Betts, Kenneth Haben
Hearing Site: Dallas, TX
| | |
| 19-02154 | 04/14/2020 | Claimant(s): Bryan Rigg
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): WFG Investments.
Respondent Lawyers(s): David Williams
Arbitrator(s): David A. Schuler
Hearing Site: Dallas, TX
| | |
| 18-03740 | 04/13/2020 | Claimant(s): Donna Kun
Claimant Lawyers(s): Jonathan Kurta
Respondent(s): LPL Financial LLC, David Pickler
Respondent Lawyers(s): Michael A. Brady
Arbitrator(s): William L. Cravens, Todd Fernell Brown, Will Pryor
Hearing Site: Dallas, TX
| | Expungement |
