| 22-00960 | 10/02/2023 | Claimant(s): Woodie T. Barnes & Lori J. Barnes
Claimant Lawyers(s): Kirk G. Smith
Respondent(s): Centaurus Financial.
Respondent Lawyers(s): Kendra S. Canape
Arbitrator(s): Jeff Kilgore, June Ann Mann, Stanley Edward Williams
Hearing Site: Houston, TX
|  | Expungement |
| 21-02427 | 02/08/2023 | Claimant(s): Catalina Hernandez-Sanchez, Luis Juarez-Hernandez
Claimant Lawyers(s): Kirk G. Smith
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Nuviah Shirazi
Arbitrator(s): Jeff Kilgore, Brian James Tagtmeier, Mina Banerjee
Hearing Site: Houston, TX
| | Expungement |
| 21-02929 | 10/20/2022 | Claimant(s): Margaret Bui-Quan
Claimant Lawyers(s): Kirk G. Smith
Respondent(s): Cetera Advisor Networks
Respondent Lawyers(s): Garry T. Stevens
Arbitrator(s): David S. Billet, Timothy Robert Hott, Roger Pierro
Hearing Site: New York, NY
| | Dismissed by Rule 12206 |
| 20-03737 | 09/15/2022 | Claimant(s): Janet Rempuszewski
Claimant Lawyers(s): Kirk G. Smith
Respondent(s): David Lerner Associates.
Respondent Lawyers(s): Gene L. Small
Arbitrator(s): Edmund Timothy Donovan
Hearing Site: New York, NY
| | Expungement |
| 20-01548 | 05/13/2022 | Claimant(s): The JZ Family Trust U/A DTD 01/30/2013
Claimant Lawyers(s): Kirk G. Smith
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Ronak V. Patel
Arbitrator(s): Lawrence R. Maxwell, Robert L Williamson, Ross B. Russell
Hearing Site: Dallas, TX
| | Expungement |
| 20-02343 | 02/07/2022 | Claimant(s): Mark W. Just, On Behalf of his IRA
Claimant Lawyers(s): Kirk G. Smith
Respondent(s): Center Street Securities.
Respondent Lawyers(s): Gregg J. Breitbart
Arbitrator(s): Maurice M. Feller, Stephen Earl Clark, Douglas Charles Weinstein
Hearing Site: Nashville, TN
| | Expungement |
| 20-03168 | 11/23/2021 | Claimant(s): Angela Dugan, Anthony Ghibesi, The Estate of Ralph Ghibesi, Angela Dugan IRA, Anthony Ghibesi IRA
Claimant Lawyers(s): Kirk G. Smith
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Nuviah Shirazi
Arbitrator(s): Annamaria Boccia Smith
Hearing Site: Jersey City, NJ
| | Expungement |
| 20-02767 | 11/10/2021 | Claimant(s): Beverly R. McCullough, Thomas W. McCullough
Claimant Lawyers(s): Kirk G. Smith
Respondent(s): KCD Financial.
Respondent Lawyers(s): Charles M. O'Rourke
Arbitrator(s): William A. Fynes, Mary Elizabeth Skelnik, Melissa Nycole Hearon
Hearing Site: Dallas, TX
| | Expungement |
| 20-00401 | 05/05/2021 | Claimant(s): Joanne Olson
Claimant Lawyers(s): Kirk G. Smith
Respondent(s): Wells Fargo Advisors Financial Network
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): Jack Chapline Vaughan, Daniel D. Hill, Robert C. Rice
Hearing Site: Houston, TX
| | Expungement |
| 20-01187 | 03/04/2021 | Claimant(s): Therese Fleming, Therese Fleming IRA
Claimant Lawyers(s): Kirk G. Smith
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): Linda Broocks
Arbitrator(s): Daniel J. Pagnano
Hearing Site: Houston, TX
| | Expungement |
