| 18-03741 | 01/24/2020 | Claimant(s): Donna Kun
Claimant Lawyers(s): Jonathan Kurta
Respondent(s): Carty & Company.
Respondent Lawyers(s): John J. Heflin
Arbitrator(s): Bill Lamoreaux, Mary Elizabeth Skelnik, Joseph Neal Richardson
Hearing Site: Dallas, TX
|  | $0 |
| 19-01622 | 12/10/2019 | Claimant(s): Thomas Hoover
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Carey, Thomas, Hoover, & Breault.
Respondent Lawyers(s): Thomas Hoover
Arbitrator(s): Joseph Neal Richardson
Hearing Site: Wichita, KS
| | |
| 19-01613 | 11/14/2019 | Claimant(s): Jerry Etter
Claimant Lawyers(s): Scott Etter
Respondent(s): Todd Hasie
Respondent Lawyers(s): Eric Chen
Arbitrator(s): Joseph Neal Richardson
Hearing Site: Dallas, TX
| | $88 |
| 19-00085 | 10/30/2019 | Claimant(s): Palm Beach Equity Financing Fund
Claimant Lawyers(s): John W. Townshend
Respondent(s): TD Ameritrade Clearing.
Respondent Lawyers(s): Alison M. Gutierrez
Arbitrator(s): Mary Elizabeth Skelnik, Sheldon Weinhaus, Joseph Neal Richardson
Hearing Site: Little Rock, AR
| | $0 |
| 18-04332 | 07/25/2019 | Claimant(s): Steven Baumrucker
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): HD Vest Investment Services
Respondent Lawyers(s): Eric Chartan
Arbitrator(s): Joseph Neal Richardson
Hearing Site: Wichita, KS
| | |
| 17-03163 | 01/14/2019 | Claimant(s): Jamie Sorenson, Kevin Sorenson, Ashlan Sorenson, Tanner A. Sorenson
Claimant Lawyers(s): Richard H. Elliott
Respondent(s): Foresters Financial Services.
Respondent Lawyers(s): Susan M. Kelleher
Arbitrator(s): Joseph Neal Richardson
Hearing Site: Dallas, TX
| | Dismissed by Rule 12206 |
| 18-00013 | 01/10/2019 | Claimant(s): James Elam
Claimant Lawyers(s): James Warren Elam
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Joseph Baumgarten
Arbitrator(s): Matthew R. Salamon, Mary Esther Escobedo, Joseph Neal Richardson
Hearing Site: Little Rock, AR
| | |
| 17-02221 | 12/18/2018 | Claimant(s): George Porter, George W. Porter, Jr., IRA, Porter Living Trust
Claimant Lawyers(s): Stephen D. Wadsworth
Respondent(s): Morgan Keegan & Company
Respondent Lawyers(s): Kathryn R. Eldridge
Arbitrator(s): Mark L. Williams, Mary Elizabeth Skelnik, Joseph Neal Richardson
Hearing Site: Birmingham, AL
| | $221,663 |
| 15-02205 | 05/25/2018 | Claimant(s): Amy Mader, Florencio Merced, Miguel Mader, Solimar Burgos
Claimant Lawyers(s): Luis E. Minana, W. Scott Greco
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Donald F. Winningham, Guillermo J. Bobonis
Arbitrator(s): Monica I. Salis, Leonard Michael Cusano, Joseph Neal Richardson
Hearing Site: San Juan, PR
| | $609,500 |
| 17-02009 | 03/21/2018 | Claimant(s): Christopher Cervantes
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): Joseph Neal Richardson
Hearing Site: Dallas, TX
| | |
