| 19-02942 | 04/04/2024 | Claimant(s): Edna Angeli
Claimant Lawyers(s): Scott L. Silver
Respondent(s): UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Rey F. Medina Velez
Arbitrator(s): Eric Ross Cromartie, Ross B. Russell, Rayner Mathias Bettendorf
Hearing Site: San Juan, PR
|  | Expungement |
| 22-02359 | 03/08/2024 | Claimant(s): BOKF, NA, Cavanal Hill Distributors,
Claimant Lawyers(s): Jared M. Burden
Respondent(s): Lance Payne
Respondent Lawyers(s): Mark Hammons
Arbitrator(s): Kelley L Cornelius, Michael E. Nelson, Eric Ross Cromartie
Hearing Site: Oklahoma City, OK
| | |
| 23-01308 | 02/29/2024 | Claimant(s): Curtis Harris
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Cambridge Investment Research., MML Investors Services
Respondent Lawyers(s): Jeanette E. Dennis, Julie E. Ravis
Arbitrator(s): Eric Ross Cromartie
Hearing Site: Dallas, TX
| | |
| 23-01487 | 12/15/2023 | Claimant(s): Michael Noland
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): NYLife Securities LLC
Respondent Lawyers(s): Christopher J. Murdoch
Arbitrator(s): Eric Ross Cromartie
Hearing Site: Oklahoma City, OK
| | |
| 23-00098 | 09/25/2023 | Claimant(s): James Richardson
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Deirdre Wolff
Arbitrator(s): Eric Ross Cromartie
Hearing Site: Dallas, TX
| | |
| 22-00853 | 08/29/2023 | Claimant(s): Irum Abbasi
Claimant Lawyers(s): Irum Abbasi
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Heidi E. VonderHeide
Arbitrator(s): Joseph Neal Richardson, Eric Ross Cromartie, Robert Barton McLeroy
Hearing Site: Dallas, TX
| | $0 |
| 22-00115 | 06/16/2022 | Claimant(s): Gary Brown
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Joseph Stone Capital L.L.C.
Respondent Lawyers(s): David Hirschberg
Arbitrator(s): Joseph A. Vicario, Eric Ross Cromartie, Ye Whei Peter Chen
Hearing Site: Dallas, TX
| | Dismissed by Rule 12206 |
| 20-01382 | 05/04/2022 | Claimant(s): BAG Securities Fund, L.P., GovPlus Fund AI, NorCap Diversified Premium Fund, NorCap Equity Plus Fund
Claimant Lawyers(s): David E. Robbins
Respondent(s): Jefferies LLC
Respondent Lawyers(s): Francesca Brody
Arbitrator(s): David A. Schuler, Eric Ross Cromartie, Christopher John Rowland
Hearing Site: Dallas, TX
| | $0 |
| 20-01263 | 10/04/2021 | Claimant(s): Raymond Borota
Claimant Lawyers(s): Jennifer P. Farrar
Respondent(s): Emmett A Larkin Company., Pacific Cortez Securities Incorporated, Salomon Grey Financial Corporation
Respondent Lawyers(s): Gordon Hing, Kyle Rowe, Troy Flowers
Arbitrator(s): Eric Ross Cromartie
Hearing Site: Dallas, TX
| | |
| 20-00922 | 07/08/2021 | Claimant(s): Angie Villemarette, Barbara Belaire, Betty Simon, Bobby Belaire, Brenda Bridges, Celia Musick, Charles Babin, Charles Pope, Charlie Hayek, Craig Nelson, Cynthia Nelson, David Herndon, Dean Simon, Edna Belaire, Frankie Bono, Hazel Decoto, Huey Decoto, Isom Cagle, J. Mothershed, Jimmie Bridges, Joann Herndon, Joyce Cagle, Kathleen Gilmartin, Kenneth Musick, Lennard Belaire, Michael Teague, Millicent Babin, Steven Graham, Susan Lankford, Victoria Guennewig, The Estate of Gerald Brauser, Craig D. Nelson IRA, David E. Herndon IRA, Dudley Devore IRA, Frankie Wayne Bono IRA, George M. Glantz IRA, Huey P. DeCoto IRA, James T. Dorris IRA, Joyce E. Cagle IRA, Kenneth Musick IRA, Lennarde J. Belaire IRA, Richard Griswold IRA, Susan Kay Lankford IRA, Thomas Guennewig IRA, Walter J. Eldredge IRA, George M. Glantz Revocable Trust
Claimant Lawyers(s): Donald L. Ferguson
Respondent(s): Pershing LLC
Respondent Lawyers(s): Jeffrey J. Chapman
Arbitrator(s): Synthia L. Taylor, Eric Ross Cromartie, Anisha Kinra
Hearing Site: Dallas, TX
| | $648,543 |
