| 23-01221 | 03/22/2024 | Claimant(s): William Ryan
Claimant Lawyers(s): Michael Bessette
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Mark A. Pratzel
Arbitrator(s): Robert J. Gregory
Hearing Site: Dallas, TX
| | |
| 23-00826 | 01/18/2024 | Claimant(s): Michael McGee
Claimant Lawyers(s): Scott Holcomb
Respondent(s): Investment Professionals.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Robert J. Gregory, Robert Sullivan Tyler, Terry Lynn Buffalo
Hearing Site: Little Rock, AR
| | |
| 23-01651 | 01/10/2024 | Claimant(s): Jarod Tibbetts
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Country Capital Management Company
Respondent Lawyers(s): John O'Brien
Arbitrator(s): Robert J. Gregory
Hearing Site: Kansas City, MO
| | |
| 22-00582 | 01/26/2023 | Claimant(s): Larry CarlockTen Com, Nancy Carlock Ten Com, Osmo Hautanen, Russell Graham, Beverly Bunting, Dewayne Perry, Edware & Debra Hare Ten Com, Faith Perry, James & Patricia H. Eccles JTWROS, Richard Sturlese, Theodore Bunting, William Flores, Jr & Mary Flores JTWROS, Doctors Diagnostics Imaging PA, Richard & Linda Sturlese 1992 Family Tru
Claimant Lawyers(s): Charles E. Scarlett, Donald L. Ferguson
Respondent(s): Pershing LLC
Respondent Lawyers(s): Jeffrey J. Chapman
Arbitrator(s): Robert J. Gregory, Dineo Coleman Gary, Roger Dale Taylor
Hearing Site: Dallas, TX
|  | $0 |
| 21-02165 | 07/21/2022 | Claimant(s): Scott Morris
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Edward Jones
Respondent Lawyers(s): Jonathan W. Hackbarth
Arbitrator(s): Robert J. Gregory
Hearing Site: Kansas City, MO
| | |
| 21-02827 | 06/28/2022 | Claimant(s): Daniel Abraham
Claimant Lawyers(s): Stephan Louviere
Respondent(s): VALIC Financial Advisors.
Respondent Lawyers(s): Michael S. Cargnel
Arbitrator(s): Robert J. Gregory
Hearing Site: New Orleans, LA
| | |
| 21-01913 | 05/23/2022 | Claimant(s): William Crull
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): John Murphy
Arbitrator(s): Robert J. Gregory
Hearing Site: New Orleans, LA
| | |
| 21-01848 | 04/08/2022 | Claimant(s): Michael Escobar
Claimant Lawyers(s): James P. Galvin
Respondent(s): Mutual Of Omaha Investor Services.
Respondent Lawyers(s): Trenten P. Bausch
Arbitrator(s): Kurt L. Smith, Robert J. Gregory, Jay M. Vogelson
Hearing Site: Dallas, TX
| | |
| 21-00997 | 03/28/2022 | Claimant(s): LPL Financial LLC
Claimant Lawyers(s): David J. Sensenig
Respondent(s): Jeff McElroy
Respondent Lawyers(s): Jeff Corey McElroy
Arbitrator(s): Robert J. Gregory
Hearing Site: Oklahoma City, OK
| | |
| 21-01946 | 02/14/2022 | Claimant(s): Travis Sullivan
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Principal Financial Securities.
Respondent Lawyers(s): Tanya J. McCann
Arbitrator(s): Robert J. Gregory
Hearing Site: Dallas, TX
| | |
