| 22-00485 | 09/17/2024 | Claimant(s): Robert Dunlap Individually & Trustee, Dunlap Exploration., Robert Dunlap, Jr. Trust U/A DTD 2/16/95
Claimant Lawyers(s): David Clouston
Respondent(s): Cass Jenkins, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Ellen Sessions
Arbitrator(s): Kenneth R. Hanks, Andrea U. Calve, Gary Ricardo Clayton
Hearing Site: Dallas, TX
|  | Expungement |
| 23-02797 | 06/27/2024 | Claimant(s): J. Rhodes
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Rhodes Securities.
Respondent Lawyers(s): Gordon Rhodes
Arbitrator(s): Andrea U. Calve
Hearing Site: Dallas, TX
| | |
| 23-01193 | 01/30/2024 | Claimant(s): Phillip Weaver
Claimant Lawyers(s): Kathleen Patchel
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): John Murphy
Arbitrator(s): Andrea U. Calve
Hearing Site: Dallas, TX
| | |
| 23-01999 | 10/18/2023 | Claimant(s): LPL Financial LLC
Claimant Lawyers(s): Samuel P. Mauch
Respondent(s): Joseph Hobbs
Respondent Lawyers(s): Joseph Gregory Hobbs
Arbitrator(s): Andrea U. Calve
Hearing Site: Oklahoma City, OK
| | |
| 18-03113 | 10/09/2023 | Claimant(s): Matt Ardoyno
Claimant Lawyers(s): Rogge Dunn
Respondent(s): Randy Bray
Respondent Lawyers(s): Matthew B. Henneman
Arbitrator(s): Andrea U. Calve, Anita M. Jean, Michael Wayne Johnston
Hearing Site: Dallas, TX
| | |
| 22-01035 | 01/13/2023 | Claimant(s): William Sammons
Claimant Lawyers(s): Steven J. Berry
Respondent(s): Prudential Equity Group, Morgan Stanley
Respondent Lawyers(s): Jennifer E. Novoselsky, Kathleen Salvaty
Arbitrator(s): Andrea U. Calve
Hearing Site: Dallas, TX
| | |
| 21-01490 | 12/23/2022 | Claimant(s): Randy Erickson
Claimant Lawyers(s): Donna Hernandez
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Kathryn Bartolomucci
Arbitrator(s): Ann Blaess Kimball, Andrea U. Calve, Patricia Ann Nolan
Hearing Site: Dallas, TX
| | $21,303 |
| 18-03640 | 12/20/2022 | Claimant(s): Felipe Benedit Bueno, Janette Lindenmann, Benedit Holdings Co.
Claimant Lawyers(s): Robert Wayne Pearce
Respondent(s): Popular Securities.
Respondent Lawyers(s): Nathan W. Lamb
Arbitrator(s): Andrea U. Calve, G. Dennis Sheehan, Victor Calderon
Hearing Site: San Juan, PR
| | Expungement |
| 22-00144 | 10/14/2022 | Claimant(s): Elaine Roumillat, Holly Carroccio
Claimant Lawyers(s): Craig M. Warner
Respondent(s): MML Investors Services
Respondent Lawyers(s): William P. Thornton
Arbitrator(s): Andrea U. Calve, Jeffrey Richard Chiappetta, Scott F Stains
Hearing Site: Dallas, TX
| | |
| 21-02173 | 10/13/2022 | Claimant(s): Adi Mistry, Dianne Callahan, Philip Tyne, Ronda Smith, Saad Bargach, Wylly Guterman, Big Horn Auto Sales., Buffalo Auto Sales., Donald D. Hunt Jr. & Rosalyn J. Hunt TIC, H. Iskiwitz & Co. Inc. Def. Ben Pension, NV 31 Investments LLC, Sculper Partners Ltd, Estate of Charles Ernest Rieves, Sr., Estate of Morris Rosenthal, Adi Mistry IRA, Anwar and Salma Kajani, Edward Henigin & Annette Sullinger JT, Edwin and Audrey Tinsley JT TEN, Frank and Sandra Bianco, James & Kalen Haun JT TEN, Kenneth C. and Mary C. Montgomery, Mark and Jo Lynn Stephens TIC, Michael & Gwendolyn Radabaugh JT TEN, Todd J. and Sheryl Stephens TOD, Allen & Patricia Iskiwitz Trust, David Hardesty IRA, Kenneth C. Montgomery IRA, Silberman Family Trust LP
Claimant Lawyers(s): Donald L. Ferguson
Respondent(s): Pershing LLC
Respondent Lawyers(s): Jeffrey J. Chapman
Arbitrator(s): Andrea U. Calve, Douglas Wade Carvell, Robert Clary
Hearing Site: Dallas, TX
| | $0 |
