| 23-03106 | 03/01/2024 | Claimant(s): Robin Wright
Claimant Lawyers(s): Todd Green
Respondent(s): Morgan Stanley, E*Trade Securities LLC
Respondent Lawyers(s): John E. Bersin
Arbitrator(s): Douglas Wade Carvell
Hearing Site: Dallas, TX
|  | $0 |
| 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
| | |
| 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 |
| 21-01650 | 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 |
| 22-00432 | 07/07/2022 | Claimant(s): Jonathan Foster
Claimant Lawyers(s): Jonathan Frederick Foster
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Stacey N. Schmidt
Arbitrator(s): Douglas Wade Carvell
Hearing Site: Dallas, TX
| | |
| 20-03418 | 02/17/2022 | Claimant(s): Christopher Lee
Claimant Lawyers(s): Christopher Lee
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): David B. Dyer, Andrea U. Calve, Douglas Wade Carvell
Hearing Site: Dallas, TX
| | |
| 21-01136 | 10/26/2021 | Claimant(s): LPL Financial LLC
Claimant Lawyers(s): John W. Joyce
Respondent(s): Atif Mughal
Respondent Lawyers(s): Atif Iqbal Mughal
Arbitrator(s): Douglas Wade Carvell
Hearing Site: Dallas, TX
| | |
| 20-02620 | 03/19/2021 | Claimant(s): Randall Childress
Claimant Lawyers(s): Brian Luther
Respondent(s): Edward Jones
Respondent Lawyers(s): Jonathan Hackbarth
Arbitrator(s): Douglas Wade Carvell
Hearing Site: Dallas, TX
| | |
| 19-02241 | 05/29/2020 | Claimant(s): Jerry Wells
Claimant Lawyers(s): Daniel D'Costa
Respondent(s): Jamie Worden, Louis Ambrosio, Worden Capital Management LLC
Respondent Lawyers(s): Michael Utilla
Arbitrator(s): Douglas Wade Carvell
Hearing Site: Dallas, TX
| | $0 |
| 19-00616 | 07/29/2019 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Michael R. Greco
Respondent(s): Gregory Jones, J.P. Morgan Securities
Respondent Lawyers(s): Katherine B. Harrison
Arbitrator(s): William L. Cravens, Douglas Wade Carvell, Jared Febbroriello
Hearing Site: Dallas, TX
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