| 20-01499 | 07/22/2021 | Claimant(s): Jennea Augsbury, Rick Augsbury
Claimant Lawyers(s): Barrett T. Robin
Respondent(s): Gregory Rachele
Respondent Lawyers(s): Gregory W. Rachele
Arbitrator(s): Robert L. Yeager, Joseph A. Vicario, Albert Joseph Roberts
Hearing Site: Dallas, TX
|  | $807,668 |
| 20-01420 | 09/16/2020 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Scott A La Porta
Respondent(s): Robert Whittenburg
Respondent Lawyers(s): Robert Roy Whittenburg
Arbitrator(s): Robert L. Yeager
Hearing Site: Dallas, TX
| | |
| 17-02126 | 12/04/2019 | Claimant(s): Jonathan Lennox
Claimant Lawyers(s): Wilmer D. Masterson
Respondent(s): USAA Financial Advisors.
Respondent Lawyers(s): Michael R. Greco
Arbitrator(s): Robert L. Yeager, Larry Adair, Donna Jean Tyus
Hearing Site: Dallas, TX
| | |
| 16-02751 | 12/08/2017 | Claimant(s): Katherine Felton
Claimant Lawyers(s): Erick T. Haman
Respondent(s): Voya Financial Advisors.
Respondent Lawyers(s): Brian J. Palmeri
Arbitrator(s): Robert L. Yeager, Ashley Lucile Belleau, Rene Guas
Hearing Site: New Orleans, LA
| | Dismissed by Rule 12206 |
| 15-02709 | 11/28/2017 | Claimant(s): Elaine Marshall, Stephen Cook
Claimant Lawyers(s): T. Ray Guy
Respondent(s): Preston Marshall, Frost Bank, Frost Brokerage Services.
Respondent Lawyers(s): Rupert F. Barron, Thomas R. Ajamie
Arbitrator(s): Robert L. Yeager, Edward J. Lynch, Edward S. Koppman
Hearing Site: Dallas, TX
| | $0 |
| 15-03194 | 11/14/2016 | Claimant(s): Kevin Gross
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Tracy L. Gerber
Arbitrator(s): Robert L. Yeager, James C. Allums, Jay M. Vogelson
Hearing Site: Dallas, TX
| | Expungement |
| 15-01325 | 09/01/2015 | Claimant(s): Ameriprise Financial Services., Scott Miller
Claimant Lawyers(s): Danya W. Blair
Respondent(s): Jeremy Walker
Respondent Lawyers(s): Brian D. Esenwein
Arbitrator(s): Louis J. Weber, Robert L. Yeager, Darryl Lipinski
Hearing Site: Dallas, TX
| | |
| 15-00216 | 08/18/2015 | Claimant(s): Lizabeth Smith
Claimant Lawyers(s): David Neuman
Respondent(s): Century Securities Associates.
Respondent Lawyers(s): James C. Browning
Arbitrator(s): Robert L. Yeager
Hearing Site: Dallas, TX
| | $0 |
| 12-02841 | 07/02/2015 | Claimant(s): John Artmire
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): First Midwest Securities.
Respondent Lawyers(s): Brandon S. Reif
Arbitrator(s): Arthur H. Geffen, Robert L. Yeager, Joseph Anthony Girgenti
Hearing Site: Dallas, TX
| | $818,817 |
| 14-02055 | 12/08/2014 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Todd Ratner
Respondent(s): Michael Vallee
Respondent Lawyers(s): Michael V. Valllee
Arbitrator(s): Robert L. Yeager
Hearing Site: Dallas, TX
| | |
