| 18-01866 | 06/06/2019 | Claimant(s): Alvin Mac Aulay IRA
Claimant Lawyers(s): Richard A. Lewins
Respondent(s): Kyle Walters, Scott Hammel, Atlas Wealth Advisors
Respondent Lawyers(s): Jon M. Stanfield
Arbitrator(s): Nicole T. LeBoeuf
Hearing Site: Dallas, TX
|  | Expungement |
| 18-03545 | 06/05/2019 | Claimant(s): Heath Abernathy
Claimant Lawyers(s): Louis D. Tambaro
Respondent(s): Sagepoint Financial.
Respondent Lawyers(s): Bradley A. Fishman
Arbitrator(s): James W. Kerr
Hearing Site: Dallas, TX
| | |
| 18-03909 | 05/17/2019 | Claimant(s): Jeff Davis
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): W. Preston Martin
Arbitrator(s): C. Sumpter Logan
Hearing Site: Dallas, TX
| | |
| 18-01386 | 05/15/2019 | Claimant(s): Edward Dobroski
Claimant Lawyers(s): Liam O'Brien
Respondent(s): William Gennity
Respondent Lawyers(s): William Christian Gennity
Arbitrator(s): Robert A. Bettis, Douglas Wade Carvell, Michael Joseph Riggs
Hearing Site: Dallas, TX
| | $2,404,380 |
| 18-03570 | 04/22/2019 | Claimant(s): Rhyan Young
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Thomas J. Cahill
Arbitrator(s): Jeff Abrams
Hearing Site: Dallas, TX
| | |
| 17-03145 | 04/22/2019 | Claimant(s): Alan Airey, Brenda Alford, Carolyn Nightingale, Dan Crane, Dean Huntington, Debra Asher, Denis Smith, James Williams, John Trabold, Jung Herding, Karen Isbell, Marie Wolfe, Mona Smith, Paul Nightingale, Paul Wolfe, Pierre Herding, Stan Isbell, Susan Connell, The Trustee Premier Trust of Nevada
Claimant Lawyers(s): Scott D. Hirsch
Respondent(s): Pershing LLC
Respondent Lawyers(s): Jeffrey J. Chapman
Arbitrator(s): Louis J. Weber, Don G Miller, Juanita Harris
Hearing Site: Dallas, TX
| | $0 |
| 18-01254 | 04/15/2019 | Claimant(s): Lori Welborn
Claimant Lawyers(s): Stuart M. Reynolds
Respondent(s): BBVA Securities Inc.
Respondent Lawyers(s): Lee Johnsey
Arbitrator(s): Patricia Beaujean Lehtola
Hearing Site: Dallas, TX
| | |
| 17-02632 | 04/12/2019 | Claimant(s): Morgan Stanley, Morgan Stanley SB FA Notes Holdings LLC
Claimant Lawyers(s): Roxanne Fixsen
Respondent(s): Hanh Williams
Respondent Lawyers(s): Hanh Thai Williams
Arbitrator(s): C. Sumpter Logan, Robert E. Witt, Kenneth Haben
Hearing Site: Dallas, TX
| | |
| 18-01937 | 03/20/2019 | Claimant(s): John Coyle
Claimant Lawyers(s): Clint A. Corrie
Respondent(s): Hilltop Securities Inc.
Respondent Lawyers(s): Jonathan Neerman
Arbitrator(s): Eric Ross Cromartie
Hearing Site: Dallas, TX
| | |
| 17-01230 | 03/20/2019 | Claimant(s): Richard Malouf, Stephanie Malouf, Gavin J. Malouf, Richard J. Malouf II, Sunny N. Malouf, Richard John Malouf IRA, Stephenie Leanne Malouf IRA, 2009 Strait Lane Family LP, RJM 2008 Irrevocable Trust, Richard John Malouf II Trust, Stephenie L. Malouf TTEE U/A
Claimant Lawyers(s): Samuel B. Edwards
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): David I. Monteiro
Arbitrator(s): Mark L. Williams, Mary Elizabeth Skelnik, Zachary Charles Haston
Hearing Site: Dallas, TX
| | Expungement |
