| 20-02764 | 10/14/2021 | Claimant(s): Richard Kincheloe
Claimant Lawyers(s): Samuel Edwards
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Charlotte S. Wolfe
Arbitrator(s): Robert J. Gregory
Hearing Site: Dallas, TX
|  | $50,000 |
| 20-03135 | 08/06/2021 | Claimant(s): Wesley Sorensen
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Principal Securities.
Respondent Lawyers(s): Kathryn Roe Eldridge
Arbitrator(s): Robert J. Gregory
Hearing Site: Dallas, TX
| | |
| 20-03042 | 04/09/2021 | Claimant(s): David Golson
Claimant Lawyers(s): Sarah K. Yates
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Geoff Beckham
Arbitrator(s): Robert J. Gregory
Hearing Site: Birmingham, AL
| | |
| 16-02338 | 03/26/2021 | Claimant(s): Carlos Bolet Alvarez
Claimant Lawyers(s): Peter J. Mougey
Respondent(s): Santander Securities
Respondent Lawyers(s): Diego Murgia-Diaz
Arbitrator(s): Robert J. Gregory, Julius P. Terrell, Melissa Nycole Hearon
Hearing Site: San Juan, PR
| | Dismissed by Rule 12212(c) |
| 20-02393 | 03/11/2021 | Claimant(s): Brian Drolet
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Mutual Of Omaha Investor Services.
Respondent Lawyers(s): Trenten P. Bausch
Arbitrator(s): Robert J. Gregory
Hearing Site: Dallas, TX
| | |
| 20-02409 | 03/08/2021 | Claimant(s): Dodee Crockett
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): W. Preston Martin
Arbitrator(s): Robert J. Gregory
Hearing Site: Dallas, TX
| | |
| 18-00307 | 03/19/2020 | Claimant(s): Norma Ann Farmer Estate
Claimant Lawyers(s): William Kulick
Respondent(s): Bobby Conville, Wells Fargo Advisors
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Robert J. Gregory, James Kee Irvin, Richard J. Clement
Hearing Site: New Orleans, LA
| | $0 |
| 19-01425 | 12/17/2019 | Claimant(s): Anna Shursen, IRA, James Higbee
Claimant Lawyers(s): Richard A. Lewins
Respondent(s): Bobby James, SCF Securities.
Respondent Lawyers(s): Gary S. Kessler, Jacob Brian Kring
Arbitrator(s): Louis J. Weber, Robert J. Gregory, Larry Adair
Hearing Site: Dallas, TX
| | Dismissed by Rule 12206/12504 |
| 19-01419 | 12/06/2019 | Claimant(s): Michael Rodriguez
Claimant Lawyers(s): Rogge Dunn
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah Yates
Arbitrator(s): Raymond C. Kerr, Robert J. Gregory, Colleen Margaret Baker
Hearing Site: Oklahoma City, OK
| | |
| 18-03335 | 04/05/2019 | Claimant(s): David Shoesmith
Claimant Lawyers(s): Jennifer Lamirand
Respondent(s): Paul Waller
Respondent Lawyers(s): Paul Waller
Arbitrator(s): Jonathan H. Larson, M W Gear, Robert J. Gregory
Hearing Site: Wichita, KS
| | Expungement |
