| 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 |
| 22-00972 | 03/03/2023 | Claimant(s): Michelle Mills
Claimant Lawyers(s): Harris Freedman
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Leslie S. Blickenstaff
Arbitrator(s): Frances Johnson Wright
Hearing Site: Denver, CO
| | |
| 22-00342 | 12/16/2022 | Claimant(s): Bobby James
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): VSR Financial Services., EDI Financial., Rushmore Securities Corporation
Respondent Lawyers(s): David Feldstein, Dewey Malone Moore, Martin Prinz
Arbitrator(s): Frances Johnson Wright, Franklin Lewis Broyles
Hearing Site: Dallas, TX
| | |
| 22-00010 | 10/18/2022 | Claimant(s): Steven Helland
Claimant Lawyers(s): Rick Illmer
Respondent(s): Frontier Solutions
Respondent Lawyers(s): Davis Vick
Arbitrator(s): Frances Johnson Wright, Anita M. Jean, Allan Ray Thomas
Hearing Site: Dallas, TX
| | |
| 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 |
| 21-01209 | 05/19/2022 | Claimant(s): Rhyan Young
Claimant Lawyers(s): Robert L. Herskovits
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Emma M. Tomsick
Arbitrator(s): Frances Johnson Wright
Hearing Site: Dallas, TX
| | |
| 21-01805 | 03/21/2022 | Claimant(s): George Gammill
Claimant Lawyers(s): Kenneth H. Looney
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Amanda Saykes
Arbitrator(s): Frances Johnson Wright
Hearing Site: Birmingham, AL
| | $9,975 |
| 21-00917 | 10/29/2021 | Claimant(s): Lawrence Redell
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Goldman, Sachs and Company
Respondent Lawyers(s): C. Evan Stewart
Arbitrator(s): Frances Johnson Wright
Hearing Site: Dallas, TX
| | |
| 18-03543 | 08/13/2021 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Jack D. Ballard
Respondent(s): Kimberly Rule
Respondent Lawyers(s): Kimberly Kay Rule
Arbitrator(s): Frances Johnson Wright, Kenneth Joe Gold, Robert E. Luxen
Hearing Site: Dallas, TX
| | |
