| 23-02562 | 10/10/2024 | Claimant(s): Christopher Alvarez
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Jeffrey S. Dunlap
Arbitrator(s): Karen Roberts Washington, Chermaine Nkomo, Tricia R DeLeon
Hearing Site: Dallas, TX
| | |
| 19-03217 | 08/13/2024 | Claimant(s): Narinder Gupta, Suman Gupta
Claimant Lawyers(s): Narinder Gupta, Suman D. Gupta
Respondent(s): Ameriprise Financial Services, Michael Hannon
Respondent Lawyers(s): Edward A. Walton
Arbitrator(s): Lynne R. Stern, Karen Roberts Washington, Genevieve Anderson
Hearing Site: New Orleans, LA
|  | Expungement |
| 23-01075 | 08/12/2024 | Claimant(s): Sally Gaddie
Claimant Lawyers(s): Jared A. Rose
Respondent(s): Christina Silvius, Juliann Smith, Moloney Securities Co..
Respondent Lawyers(s): Matthew D. Turner
Arbitrator(s): Karen Roberts Washington, Del Wright, John Edward Jackson
Hearing Site: Kansas City, MO
| | Expungement |
| 22-00677 | 11/10/2023 | Claimant(s): Robert Hamilton, Robert J. Hamilton IRA
Claimant Lawyers(s): Richard H. Elliott
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Kevin H. Lewis
Arbitrator(s): Louis J. Weber, Karen Roberts Washington, Joseph A. Vicario
Hearing Site: Dallas, TX
| | $0 |
| 21-02447 | 08/25/2023 | Claimant(s): Estate of Richard O. Bertschinger
Claimant Lawyers(s): Bryan J. Nowlin
Respondent(s): Vanguard Marketing Corporation
Respondent Lawyers(s): Paula D. Shaffner
Arbitrator(s): Karen Roberts Washington, Diane Shafer Goldschmidt, Brian James Tagtmeier
Hearing Site: Oklahoma City, OK
| | $0 |
| 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
| | |
| 22-01404 | 02/02/2023 | Claimant(s): Jean Haas
Claimant Lawyers(s): Jason J. Kane
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Rochelle Mayfield
Arbitrator(s): Irving L. Faught, Karen Roberts Washington, Sally Jane Murray
Hearing Site: Oklahoma City, OK
| | |
| 22-00017 | 10/26/2022 | Claimant(s): Todd Gautreaux
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Matthew T. Bohenek
Arbitrator(s): Karen Roberts Washington
Hearing Site: New Orleans, LA
| | |
| 22-00136 | 07/22/2022 | Claimant(s): Zachary Pannell
Claimant Lawyers(s): Zachary Pannell
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Jennifer A. Stevens
Arbitrator(s): Karen Roberts Washington
Hearing Site: Dallas, TX
| | $0 |
| 16-02214 | 06/14/2022 | Claimant(s): David Barnes
Claimant Lawyers(s): Rogge Dunn
Respondent(s): Credit Suisse Securities (USA) LLC
Respondent Lawyers(s): Stephen M. Kramarsky
Arbitrator(s): R Theodore Moock, Karen Roberts Washington, Lawrence R. Maxwell
Hearing Site: Dallas, TX
| | |
