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
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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 |
20-02379 | 02/16/2021 | Claimant(s): Matthew Mason Claimant Lawyers(s): Stephan Louviere Respondent(s): J.P. Morgan Securities Respondent Lawyers(s): Jeffrey S. Dunlap Arbitrator(s): Eric Ross Cromartie Hearing Site: Dallas, TX
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20-01350 | 01/11/2021 | Claimant(s): Douglas Wall Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Deutsche Bank Securities. Respondent Lawyers(s): Katherine B. Harrison Arbitrator(s): Eric Ross Cromartie Hearing Site: Dallas, TX
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20-01348 | 12/17/2020 | Claimant(s): Andrew Butler Claimant Lawyers(s): Dochtor Kennedy Respondent(s): LPL Financial LLC, Woodbury Financial Services., Next Financial Group. Respondent Lawyers(s): James V. Noblett, John T. Unger, Kelsey Vasko Arbitrator(s): Eric Ross Cromartie Hearing Site: Dallas, TX
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19-02980 | 02/24/2020 | Claimant(s): Amparo Mendez Class Claimant Lawyers(s): Juan C. Blasini Gonzalez Respondent(s): Santander Securities LLC Respondent Lawyers(s): Mauricio O. Muniz Luciano Arbitrator(s): Eric Ross Cromartie Hearing Site: San Juan, PR
| | $50,600 |
19-00951 | 12/16/2019 | Claimant(s): Roger Engemoen Claimant Lawyers(s): Erin M. Brewer Respondent(s): Samco Capital Markets. Respondent Lawyers(s): Joel B. Bailey Arbitrator(s): Eric Ross Cromartie Hearing Site: Dallas, TX
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19-01099 | 09/13/2019 | Claimant(s): Amelia Carrion Mendez Claimant Lawyers(s): Juan C. Blasini Gonzalez Respondent(s): Santander Securities LLC Respondent Lawyers(s): Mauricio O. Muniz Luciano Arbitrator(s): Eric Ross Cromartie Hearing Site: San Juan, PR
| | $3,300 |