| 22-01105 | 06/07/2023 | Claimant(s): Bryan Rigg
Claimant Lawyers(s): Avinoam Rosenfeld
Respondent(s): Cantella & Co..
Respondent Lawyers(s): Jonathan W. Lanstein
Arbitrator(s): Nicole T. LeBoeuf, Douglas Wade Carvell, Russell Phillips Gandy
Hearing Site: Dallas, TX
| | |
| 23-00553 | 05/09/2023 | Claimant(s): Brant Ferguson
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez Esq.
Arbitrator(s): David A. Schuler
Hearing Site: Dallas, TX
| | |
| 21-03031 | 04/19/2023 | Claimant(s): Meredith Campbell
Claimant Lawyers(s): Michael Bessette
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Tracy L. Gerber
Arbitrator(s): Jeffrey Richard Chiappetta, Julie Marie Miller, Albert Bates Wenzell
Hearing Site: Dallas, TX
| | |
| 21-00524 | 03/24/2023 | Claimant(s): Tyron Smith
Claimant Lawyers(s): Susan J. Foster
Respondent(s): William Saplicki, First Allied Advisory Services., First Allied Securities.
Respondent Lawyers(s): John P. Kincade
Arbitrator(s): Frances Johnson Wright, Joseph A. Vicario, Ye Whei Peter Chen
Hearing Site: Dallas, TX
|  | Expungement |
| 21-00746 | 03/20/2023 | Claimant(s): Nancy Ellison, Thomas Ellison
Claimant Lawyers(s): Meghan L. McElligott
Respondent(s): Gerald Hast, Titan Securities
Respondent Lawyers(s): Gary S. Kessler
Arbitrator(s): Frances Johnson Wright, Patricia Ann Nolan, Anisha Kinra
Hearing Site: Dallas, TX
| | Expungement |
| 21-00696 | 03/10/2023 | Claimant(s): Anthony Prisco, Morgan Prisco
Claimant Lawyers(s): Rachel L Williams
Respondent(s): Edward Jones, Lindsay Strange
Respondent Lawyers(s): Donald R. Littlefield
Arbitrator(s): Dineo Coleman Gary, James W. Kerr, Diego Jesus Pena
Hearing Site: Dallas, TX
| | Expungement |
| 22-02175 | 03/09/2023 | Claimant(s): Andrew Johnsen
Claimant Lawyers(s): Stephan Louviere
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): W. Preston Martin
Arbitrator(s): David A. Schuler
Hearing Site: Dallas, TX
| | |
| 20-03392 | 02/21/2023 | Claimant(s): NexTrend Securities.
Claimant Lawyers(s): Leland C. de la Garza
Respondent(s): Mark Cherlin, Scott Offerman, Sonya Gotz
Respondent Lawyers(s): David J. Abell, Leland C. de la Garza
Arbitrator(s): Bill Lamoreaux, Karen Roberts Washington, Tricia R DeLeon
Hearing Site: Dallas, TX
| | |
| 22-01992 | 02/15/2023 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Valerie Holder
Respondent(s): Siria Pinkston
Respondent Lawyers(s): Siria Pylar Pinkston
Arbitrator(s): Nicole T. LeBoeuf
Hearing Site: Dallas, TX
| | |
| 21-02831 | 02/02/2023 | Claimant(s): Lawrence Denisoff
Claimant Lawyers(s): Jennifer P. Farrar
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Michael Naccaraato
Arbitrator(s): Lawrence R. Maxwell, Subvet West, Diego Jesus Pena
Hearing Site: Dallas, TX
| | Expungement |
