| 17-02630 | 11/12/2018 | Claimant(s): Cambridge Investment Research.
Claimant Lawyers(s): Carrie L. Lathrop
Respondent(s): Kermit Gable
Respondent Lawyers(s): Kermit Gordon Gable
Arbitrator(s): Arthur H. Geffen, Anthony William (Bill) Kashouty, Bill Lamoreaux
Hearing Site: Dallas, TX
| | |
| 18-01264 | 11/02/2018 | Claimant(s): Donald Bescher
Claimant Lawyers(s): Steven J. Berry
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): G. Maynard Green
Hearing Site: Dallas, TX
| | |
| 18-01087 | 10/19/2018 | Claimant(s): Joe Cotten
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Prudential Equity Group
Respondent Lawyers(s): Alan S. Brodherson
Arbitrator(s): G. Maynard Green
Hearing Site: Dallas, TX
| | |
| 18-00769 | 09/28/2018 | Claimant(s): Bradley Thomas, Paul Valtierra
Claimant Lawyers(s): Steven J. Berry
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Jeff Abrams
Hearing Site: Dallas, TX
| | |
| 18-00104 | 09/14/2018 | Claimant(s): Steve Potysman
Claimant Lawyers(s): Steve Potysman
Respondent(s): Bryce Danley
Respondent Lawyers(s): Edward A. Walton
Arbitrator(s): Lawrence R. Maxwell
Hearing Site: Dallas, TX
|  | $0 |
| 17-00629 | 09/12/2018 | Claimant(s): Joe Zuech, Wendy Zuech
Claimant Lawyers(s): Scott L. Silver
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): Gianluca Morello
Arbitrator(s): Henry J. Ackels, Mary Elizabeth Skelnik, Larry Adair
Hearing Site: Dallas, TX
| | Expungement |
| 16-02761 | 09/06/2018 | Claimant(s): Kurt Haney, Robert Staton
Claimant Lawyers(s): Robert M. Thornton
Respondent(s): Deutsche Bank Securities.
Respondent Lawyers(s): Donald R. Littlefield
Arbitrator(s): Robert A. Bettis, David A. Schuler, Robert L Williamson
Hearing Site: Dallas, TX
| | |
| 17-00648 | 08/22/2018 | Claimant(s): Robert Price, Robert Alan Price, IRA
Claimant Lawyers(s): Theodore C. Houdek
Respondent(s): KCD Financial.
Respondent Lawyers(s): Charles M. O'Rourke
Arbitrator(s): Lawrence R. Maxwell, James W. Kerr, Christian Dennie
Hearing Site: Dallas, TX
| | Expungement |
| 18-00723 | 08/21/2018 | Claimant(s): William Rosenthal
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Securities America.
Respondent Lawyers(s): Tyler Schubauer
Arbitrator(s): Robert L. Chisolm
Hearing Site: Dallas, TX
| | |
| 17-01291 | 08/10/2018 | Claimant(s): SPJST
Claimant Lawyers(s): Hamilton Rial
Respondent(s): D.A. Davidson & Co.
Respondent Lawyers(s): Elizabeth Lowery
Arbitrator(s): Clement Osimetha, Martin Lowy, Mark Leslie Burdette
Hearing Site: Dallas, TX
| | Expungement |
