| 20-02886 | 02/02/2021 | Claimant(s): George Franklin, Wanda Franklin
Claimant Lawyers(s): Gavin Rush
Respondent(s): AXA Advisors
Respondent Lawyers(s): Jason A. Richardson
Arbitrator(s): Jeff Abrams, Edward Bradbury Cloutman, Staci Lynette Glenn
Hearing Site: Dallas, TX
|  | Dismissed by Rule 12206 |
| 13-00984 | 12/13/2013 | Claimant(s): Caron Gallier, Deborah Harrison, Kathy Temple, Vernon Gallier, Caron Gallier IRA, Deborah Harrison IRA, Kathy Temple IRA, Jr. IRA
Claimant Lawyers(s): Robert A. Kantas
Respondent(s): Lincoln Financial Securities Corporation, Woodbury Financial Services.
Respondent Lawyers(s): Ami Shah, Jason A. Richardson
Arbitrator(s): David G. Beerbower, Robert Charles Morrison, Julie Marie Miller
Hearing Site: Houston, TX
| | $0 |
| 12-02081 | 06/18/2013 | Claimant(s): Harvey Loomstein Irrevocable Trust, Joseph Loomstein Irr Tr, The Mildred Loomstein GST Exempt Irrv Tr, The Mildred Loomstein GST Non-Exmpt Tr
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Jeffrey Stern, FSC Securities Corporation
Respondent Lawyers(s): Jason A. Richardson, Justin Sacca
Arbitrator(s): Louis J. Weber, Patricia B. Lehtola, Martha Z. Ralstin
Hearing Site: Dallas, TX
| | $0 |
| 08-02766 | 03/08/2010 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): James Porter
Respondent Lawyers(s): Jason A. Richardson
Arbitrator(s): Robert M. Birenbaum, William Edward Buck, Jeffrey R. Jury
Hearing Site: Houston, TX
| | |
| 08-03152 | 10/27/2009 | Claimant(s): Hazel Simpson
Claimant Lawyers(s): Jason A. Richardson
Respondent(s): Ryan Orlando, Interactive Brokers
Respondent Lawyers(s): John J. Nielands, Ryan M. Orlando
Arbitrator(s): Richard C. Downing, Robert E. Graves, Lydia M. Quarles
Hearing Site: Jackson, MS
| | $997,982 |
| 08-00259 | 03/09/2009 | Claimant(s): Jonathan Zarate
Claimant Lawyers(s): Jason A. Richardson
Respondent(s): Wells Fargo Investments
Respondent Lawyers(s): Thomas F. Kopshever
Arbitrator(s): Anthony William (Bill) Kashouty, Lawrence R. Maxwell, Larry N. Quinn
Hearing Site: Dallas, TX
| | $37,118 |
