| 17-01117 | 12/06/2017 | Claimant(s): Jeremy Bardin
Claimant Lawyers(s): James G. Lundy
Respondent(s): Gainsco Inc., MGA Insurance Company Inc.
Respondent Lawyers(s): Drew Nachowiak
Arbitrator(s): Dineo Coleman Gary, Joseph Neal Richardson, Charles Robert Elhoff
Hearing Site: Dallas, TX
|  | Expungement |
| 16-02667 | 10/13/2017 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s): Sandra Hudgins
Respondent Lawyers(s): Sandra Joseph Hudgins
Arbitrator(s): David A. Schuler, Joseph Neal Richardson, Leon Hilary Horne
Hearing Site: Dallas, TX
| | |
| 16-03022 | 09/19/2017 | Claimant(s): Smith Walker
Claimant Lawyers(s): David A. Walton
Respondent(s): E*Trade Securities LLC, E*Trade Clearing LLC
Respondent Lawyers(s): Meredith Hoffman, Esq.
Arbitrator(s): G. Maynard Green, Robert J. Gregory, Joseph Neal Richardson
Hearing Site: Dallas, TX
| | $0 |
| 16-03312 | 06/23/2017 | Claimant(s): Lori Welborn
Claimant Lawyers(s): Stuart M. Reynolds
Respondent(s): Colonial Brokerage.
Respondent Lawyers(s): Dan Overbey, Managing Dir.
Arbitrator(s): Joseph Neal Richardson
Hearing Site: Dallas, TX
| | |
| 16-03384 | 06/20/2017 | Claimant(s): Brenda Anderson, John Anderson
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Jerry McCutchen, Berthel, Fisher & Company Financial Serv, Next Financial Group.
Respondent Lawyers(s): Mickey B. Wright
Arbitrator(s): Harvey R. Linder, Mary Elizabeth Skelnik, Joseph Neal Richardson
Hearing Site: Birmingham, AL
| | Dismissed by Rule 12206 |
| 16-03568 | 05/23/2017 | Claimant(s): Jack Shewmake
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Bryce Willis, Terry Bagwell, MetLife Securities Inc.
Respondent Lawyers(s): Kathryn R. Eldridge, Mickey B. Wright, Paul M. James
Arbitrator(s): Karen Roberts Washington, Debra Black Leo, Joseph Neal Richardson
Hearing Site: Birmingham, AL
| | Dismissed by Rule 12206 |
| 16-00078 | 02/09/2017 | Claimant(s): Marcia Barfield IRA, Norman J. Barfield IRA
Claimant Lawyers(s): Kirk G. Smith
Respondent(s): IMS Securities.
Respondent Lawyers(s): Martin S. Schexnayder
Arbitrator(s): Douglas Wade Carvell, Joseph Neal Richardson, Richard Thomas Huston
Hearing Site: Dallas, TX
| | Expungement |
| 14-01450 | 01/03/2017 | Claimant(s): WRI Vending Machines.
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): Oriental Financial Services Corp.
Respondent Lawyers(s): Pedro Hernandez Freire
Arbitrator(s): Michael S. Yauch, Joseph Neal Richardson, Maria Eliz Hernandez
Hearing Site: San Juan, PR
| | $983,336 |
| 16-01279 | 11/29/2016 | Claimant(s): Diane Back
Claimant Lawyers(s): Adam S. Tracy
Respondent(s): JP Morgan Institutional Investments Inc.
Respondent Lawyers(s): Luis F. Calvo
Arbitrator(s): Joseph Neal Richardson
Hearing Site: Dallas, TX
| | $0 |
| 16-00021 | 11/28/2016 | Claimant(s): Linda Anthony
Claimant Lawyers(s): Jonathan Kurta
Respondent(s): MML Investors Services, Voya Financial Advisors.
Respondent Lawyers(s): Bryce Benson, William P. Thornton
Arbitrator(s): Dale C. Putman, Susan A. Berson, Joseph Neal Richardson
Hearing Site: Wichita, KS
| | Expungement |
