| 20-01186 | 08/30/2021 | Claimant(s): Douglas Wall
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Patricia Beaujean Lehtola
Hearing Site: Dallas, TX
| | |
| 20-02329 | 01/14/2021 | Claimant(s): Leo Rodriguez
Claimant Lawyers(s): Robert L. Herskovits
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Julie L. Taylor
Arbitrator(s): Patricia Beaujean Lehtola
Hearing Site: Dallas, TX
| | |
| 19-00342 | 08/19/2019 | Claimant(s): Lee Thomson
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jon D. Kaplon
Arbitrator(s): Patricia Beaujean Lehtola
Hearing Site: Dallas, TX
| | |
| 18-00523 | 06/25/2019 | Claimant(s): Laurence Pierron
Claimant Lawyers(s): Laurence Pierron
Respondent(s): Ameriprise Financial Services., Jennifer Ibarguen
Respondent Lawyers(s): Gerry A. Giurato
Arbitrator(s): Patricia Beaujean Lehtola, Andrea U. Calve, Henry J. Ackels
Hearing Site: Dallas, TX
| | |
| 18-01254 | 04/15/2019 | Claimant(s): Lori Welborn
Claimant Lawyers(s): Stuart M. Reynolds
Respondent(s): BBVA Securities Inc.
Respondent Lawyers(s): Lee Johnsey
Arbitrator(s): Patricia Beaujean Lehtola
Hearing Site: Dallas, TX
| | |
| 17-03064 | 04/30/2018 | Claimant(s): Audrey Sreshta
Claimant Lawyers(s): Ronald P. Wright
Respondent(s): MML Investors Services
Respondent Lawyers(s): Julie E. Ravis
Arbitrator(s): Patricia Beaujean Lehtola
Hearing Site: Dallas, TX
| | |
| 15-00347 | 03/21/2016 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Brian Hormozi
Respondent(s): Michael Martin
Respondent Lawyers(s): Michael Martin
Arbitrator(s): Patricia B. Lehtola
Hearing Site: Dallas, TX
| | |
| 12-02416 | 11/19/2013 | Claimant(s): Betty Gallagher, Patrick Gallagher
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Susan E. Sheely
Arbitrator(s): Patricia B. Lehtola, Anita M. Jean, Gerald Ray Waterston
Hearing Site: Dallas, TX
|  | Expungement |
| 11-04036 | 06/26/2013 | Claimant(s): Pansy Yankey
Claimant Lawyers(s): Nathan J Schwartz
Respondent(s): Southwest Securities.
Respondent Lawyers(s): Clint A. Corrie
Arbitrator(s): Phillip Lee Scheldt, Daniel A. Kile, Patricia B. Lehtola
Hearing Site: Dallas, TX
| | Expungement |
| 12-02081 | 06/18/2013 | Claimant(s): Harvey Loomstein Irrevocable Trust, Joseph Loomstein Irr Tr, The Mildred Loomstein GST Exempt Irrv Tr, The Mildred Loomstein GST Non-Exmpt Tr
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Jeffrey Stern, FSC Securities Corporation
Respondent Lawyers(s): Jason A. Richardson, Justin Sacca
Arbitrator(s): Louis J. Weber, Patricia B. Lehtola, Martha Z. Ralstin
Hearing Site: Dallas, TX
| | $0 |
