| 22-00677 | 11/10/2023 | Claimant(s): Robert Hamilton, Robert J. Hamilton IRA
Claimant Lawyers(s): Richard H. Elliott
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Kevin H. Lewis
Arbitrator(s): Louis J. Weber, Karen Roberts Washington, Joseph A. Vicario
Hearing Site: Dallas, TX
|  | $0 |
| 21-00524 | 03/24/2023 | Claimant(s): Tyron Smith
Claimant Lawyers(s): Susan J. Foster
Respondent(s): William Saplicki, First Allied Advisory Services., First Allied Securities.
Respondent Lawyers(s): John P. Kincade
Arbitrator(s): Frances Johnson Wright, Joseph A. Vicario, Ye Whei Peter Chen
Hearing Site: Dallas, TX
| | Expungement |
| 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 |
| 20-03365 | 11/11/2021 | Claimant(s): Matthew Nekuza
Claimant Lawyers(s): Henry Simpson
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Anthony L. Valenzuela
Arbitrator(s): Joseph A. Vicario, Joseph Neal Richardson, Brandy Kearney Chambers
Hearing Site: Dallas, TX
| | $0 |
| 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 |
| 08-02399 | 06/06/2011 | Claimant(s): Kimberly Hutcheson
Claimant Lawyers(s): Brian P. Sanford
Respondent(s): Audrey Gibson, Gary Carby, Citigroup Global Markets., Stephen Caine, Citigroup.
Respondent Lawyers(s): Tiffany C. Woodie
Arbitrator(s): Jeff Abrams, Joseph A. Vicario, Edward S. Koppman
Hearing Site: Dallas, TX
| | |
| 07-01038 | 11/02/2007 | Claimant(s): Joe Stringer
Claimant Lawyers(s): Joe Robert Stringer
Respondent(s): J.P. Morgan Securities., Citigroup Global Markets., Mellon Securities LLC
Respondent Lawyers(s): Alejandro Schwed, Anthony J. Galioto, Bradley J. Johnson
Arbitrator(s): William E. Hartsfield, Cheryl Jerome Moore, Joseph A. Vicario
Hearing Site: Dallas, TX
| | $0 |
