| 22-02586 | 08/23/2024 | Claimant(s): Alan Taylor, Albert Konetzni, Allen Bealer, Charles Woods, Christopher Splint, Constantino Gabrie, Daniel Smith, David Parta, David Shipman, David Thompson, Doug Austin, Eddie Yaklin, George Economos, Gerald Nelson, Guy Tiner, Huxley Richardson, John Friesen, John Griffin, John Restivo, John Ritzenthaler, John Trobaugh, Larry Pitts, Linda Dahl, Mitchell Dorfman, Paul Randall, Robert Bushman, Robert Pollard, Robert Tobey, Roger Kriete, Ronald Chernenko, Shirley Konetzni, Stephen Collins, Steve Huddleston, Thomas Riddle, Thomas Rothe, Thomas Skjold
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): SW Financial
Respondent Lawyers(s): Bruce Boyle
Arbitrator(s): David Aaron DeSoto, Brucus Owdley, Nile Bailey Copeland
Hearing Site: Houston, TX
|  | $13,476,100 |
| 24-00092 | 07/29/2024 | Claimant(s): Amra Uzair, Mirza Beg
Claimant Lawyers(s): Joshua Kons
Respondent(s): CrowdStreet., Crowdstreet Capital LLC
Respondent Lawyers(s): Gabrielle Gould
Arbitrator(s): Lynne M. Gomez, Montie G. Grimes, David Aaron DeSoto
Hearing Site: Houston, TX
| | Dismissed by Rule 12200 |
| 23-02870 | 04/26/2024 | Claimant(s): Williams Butcher
Claimant Lawyers(s): Seth Ian Rubinson
Respondent(s): International Assets Advisory
Respondent Lawyers(s): Myra P. Nicholson
Arbitrator(s): Oren L. Connaway, David Aaron DeSoto, James Douglas Gaughan
Hearing Site: Houston, TX
| | |
| 22-02894 | 04/17/2024 | Claimant(s): Peggy Hedgren
Claimant Lawyers(s): Jennifer P. Farrar
Respondent(s): Edward Jones
Respondent Lawyers(s): Donald R. Littlefield
Arbitrator(s): Allan R. Lazor, David Aaron DeSoto, Fred Olivares
Hearing Site: Houston, TX
| | Expungement |
| 22-02978 | 11/07/2023 | Claimant(s): Carlos Fernandez
Claimant Lawyers(s): Chelsea Bauer
Respondent(s): Chase Investment Services Corp.
Respondent Lawyers(s): Heidi E. VonderHeide
Arbitrator(s): David Aaron DeSoto
Hearing Site: Houston, TX
| | |
| 19-01096 | 06/30/2022 | Claimant(s): Timothy Satre
Claimant Lawyers(s): Mark C. Sparks
Respondent(s): David Dick, David Wilson, Ameriprise Financial Services
Respondent Lawyers(s): Edward A. Walton
Arbitrator(s): Ronald L. Mullins, Robert C. Rice, David Aaron DeSoto
Hearing Site: Houston, TX
| | |
| 20-03856 | 05/05/2022 | Claimant(s): Elise Oren, John Oren
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Rebecca K. Lindahl
Arbitrator(s): Brian James Tagtmeier, David Aaron DeSoto, Nile Bailey Copeland
Hearing Site: Houston, TX
| | $3,862,630 |
| 16-01775 | 01/26/2017 | Claimant(s): Patrick Biggins
Claimant Lawyers(s): Mark Wilson
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Jonathan C. Schwartz
Arbitrator(s): Bertrand C. Moser, Robert L. Rolnick, David Aaron DeSoto
Hearing Site: Houston, TX
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