| 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 |
| 16-03753 | 07/22/2019 | Claimant(s): Eliot Barnett, Emily Bernstein, Jason Werner, Jeffrey Werner, Jessica Barnett, Laurie Werner, Louis Barnett, Matthew Bernstein, Nathan Barnett, Rhoda Bernstein, Eliot B. Barnett IRA, Jason B. Werner, IRA, Jeffrey M. Werner, Lon T. Werner, Matthew B. Bernstein, B3G Partnership, Barnett Grandchildren Partnership, II, BGC Initial Trust, Barnett Exempt Marital Trust, Barnett Family Foundation, et al
Claimant Lawyers(s): Richard A. Lewins
Respondent(s): Christopher Anthony
Respondent Lawyers(s): Christopher Paul Anthony
Arbitrator(s): Louis J. Weber, Edward Bradbury Cloutman, Richard Thomas Huston
Hearing Site: Dallas, TX
| | $50,000 |
| 18-01866 | 06/06/2019 | Claimant(s): Alvin Mac Aulay IRA
Claimant Lawyers(s): Richard A. Lewins
Respondent(s): Kyle Walters, Scott Hammel, Atlas Wealth Advisors
Respondent Lawyers(s): Jon M. Stanfield
Arbitrator(s): Nicole T. LeBoeuf
Hearing Site: Dallas, TX
| | Expungement |
| 16-02150 | 06/26/2018 | Claimant(s): Lynne Hoseck, Hoseck Investments LLC, The Hoseck Corporation, Estate of Ralph Hoseck, The Hoseck Family Trust No. 1
Claimant Lawyers(s): Richard A. Lewins
Respondent(s): Mark Plummer, Texas E&P Partners.
Respondent Lawyers(s): Mark Plummer
Arbitrator(s): G. Maynard Green, Edward J. Lynch, John Kenneth Popham
Hearing Site: Dallas, TX
| | $345,000 |
| 15-00669 | 03/21/2016 | Claimant(s): Castaway LP
Claimant Lawyers(s): Richard A. Lewins
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Melissa Muehlfeld
Arbitrator(s): Phillip Lee Scheldt, G. Maynard Green, Robert J. Gregory
Hearing Site: Dallas, TX
| | $0 |
| 13-03158 | 11/05/2015 | Claimant(s): Lawrence Rosenbloom, Bevrose Investments LP, Emmrose Investments LP, LNR Investments LP, Penrose Investments LP, Rosenbloom Charitable Rem Trust
Claimant Lawyers(s): Richard A. Lewins
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Terry R. Weiss
Arbitrator(s): Ann Blaess Kimball, Andrea U. Calve, Mary Elizabeth Skelnik
Hearing Site: Dallas, TX
| | $0 |
| 14-02928 | 05/15/2015 | Claimant(s): Sidney Saxon IRA
Claimant Lawyers(s): Richard A. Lewins
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): Robert M. Rudnicki
Arbitrator(s): Michael S. Yauch
Hearing Site: Houston, TX
| | $300 |
| 13-03412 | 05/07/2015 | Claimant(s): The Lawrence Rosenbloom Charitable
Claimant Lawyers(s): Richard A. Lewins
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Christopher Tovar
Arbitrator(s): Phillip Lee Scheldt, Robert Jerry Strader, Russell Phillips Gandy
Hearing Site: Dallas, TX
| | $434,900 |
| 13-00534 | 02/10/2014 | Claimant(s): William Fitzpatrick
Claimant Lawyers(s): Richard A. Lewins
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Susan E. Sheely
Arbitrator(s): Maxel (Bud) B. Silverberg, C. Sumpter Logan, George Young Banks
Hearing Site: Dallas, TX
| | $0 |
| 12-01306 | 07/25/2013 | Claimant(s): Bevrose Investments LP, Emmrose Investments LP, LNR Investments LP, Penrose Investments LP
Claimant Lawyers(s): Richard A. Lewins
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Deborah Dickstein
Arbitrator(s): Harry J Saginaw, James Douglas Haigh, Dineo Coleman Gary
Hearing Site: Dallas, TX
| | $75,000 |
