| 17-02050 | 08/24/2019 | Claimant(s): Adilia Beam, The Estate of Monte Beam
Claimant Lawyers(s): Alan L. Rosca
Respondent(s): Jon Tribbel, Conover Securities Corporation
Respondent Lawyers(s): Gary S. Kessler
Arbitrator(s): Louis J. Weber, Nicole T. LeBoeuf, Lawrence R. Maxwell
Hearing Site: Dallas, TX
|  | $0 |
| 19-00342 | 08/19/2019 | Claimant(s): Lee Thomson
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jon D. Kaplon
Arbitrator(s): Patricia Beaujean Lehtola
Hearing Site: Dallas, TX
| | |
| 19-00616 | 07/29/2019 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Michael R. Greco
Respondent(s): Gregory Jones, J.P. Morgan Securities
Respondent Lawyers(s): Katherine B. Harrison
Arbitrator(s): William L. Cravens, Douglas Wade Carvell, Jared Febbroriello
Hearing Site: Dallas, TX
| | |
| 16-03753 | 07/22/2019 | Claimant(s): Eliot Barnett, Emily Bernstein, Jason Werner, Jeffrey Werner, Jessica Barnett, Laurie Werner, Louis Barnett, Matthew Bernstein, Nathan Barnett, Rhoda Bernstein, Eliot B. Barnett IRA, Jason B. Werner, IRA, Jeffrey M. Werner, Lon T. Werner, Matthew B. Bernstein, B3G Partnership, Barnett Grandchildren Partnership, II, BGC Initial Trust, Barnett Exempt Marital Trust, Barnett Family Foundation, et al
Claimant Lawyers(s): Richard A. Lewins
Respondent(s): Christopher Anthony
Respondent Lawyers(s): Christopher Paul Anthony
Arbitrator(s): Louis J. Weber, Edward Bradbury Cloutman, Richard Thomas Huston
Hearing Site: Dallas, TX
| | $50,000 |
| 18-04388 | 07/16/2019 | Claimant(s): Bill Carter
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): Stanton A. Fears
Arbitrator(s): Frances Johnson Wright
Hearing Site: Dallas, TX
| | |
| 18-00772 | 06/26/2019 | Claimant(s): Laurence Pierron
Claimant Lawyers(s): Laurence Pierron
Respondent(s): Ameriprise Financial Services., Jennifer Ibarguen
Respondent Lawyers(s): Gerry A. Giurato
Arbitrator(s):
Hearing Site: Dallas, TX
| | |
| 18-00523 | 06/25/2019 | Claimant(s): Laurence Pierron
Claimant Lawyers(s): Laurence Pierron
Respondent(s): Ameriprise Financial Services., Jennifer Ibarguen
Respondent Lawyers(s): Gerry A. Giurato
Arbitrator(s): Patricia Beaujean Lehtola, Andrea U. Calve, Henry J. Ackels
Hearing Site: Dallas, TX
| | |
| 18-02908 | 06/17/2019 | Claimant(s): Marvin Ferguson
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): Wachovia Securities Inc.
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Andrea U. Calve
Hearing Site: Dallas, TX
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| 18-00437 | 06/13/2019 | Claimant(s): Cynthia Beller
Claimant Lawyers(s): James Robert Krause
Respondent(s): Allyn Donaubauer, Raymond, James & Associates.
Respondent Lawyers(s): Linda Broocks
Arbitrator(s): Louis J. Weber, Lawrence Frederick Ranallo, Richard Thomas Huston
Hearing Site: Dallas, TX
| | Expungement |
| 18-03277 | 06/12/2019 | Claimant(s): PFS Investments Inc.
Claimant Lawyers(s): Stephen D. Councill
Respondent(s): Nancy De Leeuw, Perry De Leeuw
Respondent Lawyers(s): Nancy Elaine De Leeuw, Perry De Leeuw
Arbitrator(s): Eric Ross Cromartie
Hearing Site: Dallas, TX
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