| 22-00144 | 10/14/2022 | Claimant(s): Elaine Roumillat, Holly Carroccio
Claimant Lawyers(s): Craig M. Warner
Respondent(s): MML Investors Services
Respondent Lawyers(s): William P. Thornton
Arbitrator(s): Andrea U. Calve, Jeffrey Richard Chiappetta, Scott F Stains
Hearing Site: Dallas, TX
| | |
| 21-02173 | 10/13/2022 | Claimant(s): Adi Mistry, Dianne Callahan, Philip Tyne, Ronda Smith, Saad Bargach, Wylly Guterman, Big Horn Auto Sales., Buffalo Auto Sales., Donald D. Hunt Jr. & Rosalyn J. Hunt TIC, H. Iskiwitz & Co. Inc. Def. Ben Pension, NV 31 Investments LLC, Sculper Partners Ltd, Estate of Charles Ernest Rieves, Sr., Estate of Morris Rosenthal, Adi Mistry IRA, Anwar and Salma Kajani, Edward Henigin & Annette Sullinger JT, Edwin and Audrey Tinsley JT TEN, Frank and Sandra Bianco, James & Kalen Haun JT TEN, Kenneth C. and Mary C. Montgomery, Mark and Jo Lynn Stephens TIC, Michael & Gwendolyn Radabaugh JT TEN, Todd J. and Sheryl Stephens TOD, Allen & Patricia Iskiwitz Trust, David Hardesty IRA, Kenneth C. Montgomery IRA, Silberman Family Trust LP
Claimant Lawyers(s): Donald L. Ferguson
Respondent(s): Pershing LLC
Respondent Lawyers(s): Jeffrey J. Chapman
Arbitrator(s): Andrea U. Calve, Douglas Wade Carvell, Robert Clary
Hearing Site: Dallas, TX
|  | $0 |
| 21-02661 | 10/04/2022 | Claimant(s): Ricardo De Los Santos, Sandra De Los Santos
Claimant Lawyers(s): Ricardo De Los Santos
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Frances Johnson Wright, David A. Schuler, Valarie Wright
Hearing Site: Dallas, TX
| | $96,193 |
| 22-00185 | 09/28/2022 | Claimant(s): Luke Tait
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Goldman, Sachs and Company
Respondent Lawyers(s): C. Evan Stewart
Arbitrator(s): Joseph Neal Richardson
Hearing Site: Dallas, TX
| | |
| 22-00285 | 09/21/2022 | Claimant(s): John Husby
Claimant Lawyers(s): Avinoam Rosenfeld
Respondent(s): Cuna Brokerage Services.
Respondent Lawyers(s): Jennifer G. Chawla
Arbitrator(s): Bill Lamoreaux, Linda B. Kelly, Michael Wayne Johnston
Hearing Site: Dallas, TX
| | |
| 21-01299 | 09/15/2022 | Claimant(s): Mark Creason
Claimant Lawyers(s): Lisanne M. Butterfield
Respondent(s): Colorado Financial Service Corporation
Respondent Lawyers(s): William D. Nelson
Arbitrator(s): Jan Glenn Valecka, Thomas W. Allen, Ross B. Russell
Hearing Site: Dallas, TX
| | |
| 19-03568 | 09/13/2022 | Claimant(s): Estate of James W. Eggers
Claimant Lawyers(s): J. Mitchell Little
Respondent(s): T. Rowe Price Investment Services.
Respondent Lawyers(s): Daniel J Donovan
Arbitrator(s): Mary Elizabeth Skelnik, Michael Wayne Johnston, Robert Glenn Chadwick
Hearing Site: Dallas, TX
| | $0 |
| 21-02550 | 09/01/2022 | Claimant(s): Drew Springer
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): FSC Securities Corporation, KMS Financial Services.
Respondent Lawyers(s): Gregory M. Curley, Jennifer R. Cox
Arbitrator(s): Thomas W. Allen
Hearing Site: Dallas, TX
| | |
| 20-02025 | 08/11/2022 | Claimant(s): Elena Izak
Claimant Lawyers(s): Wilmer D. Masterson
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Marsha A. Washkuhn
Arbitrator(s): Lawrence R. Maxwell, Franklin Lewis Broyles, Ross B. Russell
Hearing Site: Dallas, TX
| | |
| 21-01650 | 08/11/2022 | Claimant(s): Tom Snow
Claimant Lawyers(s): Sean J. McCaffity
Respondent(s): Gregory Pharris, Edward Jones
Respondent Lawyers(s): Donald R. Littlefield
Arbitrator(s): Douglas Wade Carvell
Hearing Site: Dallas, TX
| | Expungement |
