| 21-02603 | 02/16/2023 | Claimant(s): Estate of Gloria Elizondo Altamirano
Claimant Lawyers(s): Robert H. Rex
Respondent(s): LPL Financial LLC, Jose Cruz
Respondent Lawyers(s): Jack D. Ballard
Arbitrator(s): Brian James Tagtmeier, Stephen Andrew McCarthy, John Donahue Sullivan
Hearing Site: Houston, TX
|  | Expungement |
| 20-02670 | 12/22/2022 | Claimant(s): Moody National DST Sponsor
Claimant Lawyers(s): Douglas A. Daniels
Respondent(s): Charles Schwab & Co.., Zachariah Bickers
Respondent Lawyers(s): Jack D. Ballard
Arbitrator(s): Stephanie E. Simmons, William Guy Arnot, Stephen Neil Foster
Hearing Site: Houston, TX
| | $0 |
| 20-03694 | 07/14/2022 | Claimant(s): Juan Rodriguez, Myriam Gonzalez
Claimant Lawyers(s): Jeffrey D. Anderson
Respondent(s): Antonio ReynaL Financial LLC, Edward Miller, Financial Resources Group Investment Srv
Respondent Lawyers(s): Jack D. Ballard
Arbitrator(s): G. Maynard Green, Danielle L. Hargrove, Elena Dilorio
Hearing Site: Houston, TX
| | $2,573,340 |
| 20-01114 | 11/10/2021 | Claimant(s): Richard Dudley, R. Dudley on behalf of his IRA accts, R. Dudley AIF for spouse, Anna A. Dudley
Claimant Lawyers(s): Jason S. Haselkorn
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jack D. Ballard
Arbitrator(s): Andrea U. Calve, Mary Elizabeth Skelnik, Charles McGarry
Hearing Site: Dallas, TX
| | Expungement |
| 20-03843 | 09/30/2021 | Claimant(s): David Furlong
Claimant Lawyers(s): David Furlong
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Jack D. Ballard
Arbitrator(s): Marjorie C. Johnson, Stephanie E. Simmons, Mina Banerjee
Hearing Site: Houston, TX
| | $0 |
| 18-03543 | 08/13/2021 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Jack D. Ballard
Respondent(s): Kimberly Rule
Respondent Lawyers(s): Kimberly Kay Rule
Arbitrator(s): Frances Johnson Wright, Kenneth Joe Gold, Robert E. Luxen
Hearing Site: Dallas, TX
| | |
| 19-00021 | 05/14/2020 | Claimant(s): Earnest Frederick, Timothy Moeller
Claimant Lawyers(s): Samuel B. Edwards
Respondent(s): LPL Financial LLC, First National Bank of Shiner
Respondent Lawyers(s): Jack D. Ballard
Arbitrator(s): Mary Esther Escobedo, Montie G. Grimes, Shannon Lyn Mays
Hearing Site: Houston, TX
| | $0 |
| 19-03609 | 04/03/2020 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Jack D. Ballard
Respondent(s): Juan Uribe
Respondent Lawyers(s): Juan Uribe
Arbitrator(s): Raymond C. Kerr
Hearing Site: Houston, TX
| | |
| 17-02390 | 12/23/2019 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Jack D. Ballard
Respondent(s): Thomas Allred
Respondent Lawyers(s): Thomas Brian Allred
Arbitrator(s): G. Maynard Green
Hearing Site: Dallas, TX
| | |
| 18-03544 | 11/26/2019 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Jack D. Ballard
Respondent(s): Wendell Stewart
Respondent Lawyers(s): P. Jacob Paschal
Arbitrator(s): Daniel J. Pagnano
Hearing Site: Houston, TX
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