| 21-00696 | 03/10/2023 | Claimant(s): Anthony Prisco, Morgan Prisco
Claimant Lawyers(s): Rachel L Williams
Respondent(s): Edward Jones, Lindsay Strange
Respondent Lawyers(s): Donald R. Littlefield
Arbitrator(s): Dineo Coleman Gary, James W. Kerr, Diego Jesus Pena
Hearing Site: Dallas, TX
|  | Expungement |
| 20-01934 | 11/25/2022 | Claimant(s): Jack Thomas
Claimant Lawyers(s): W. D. Masterson
Respondent(s): USAA Investment Services Company
Respondent Lawyers(s): David W. Erb
Arbitrator(s): James W. Kerr, John Kenneth Popham, Brian Patrick Ashley
Hearing Site: Dallas, TX
| | |
| 19-03212 | 11/12/2021 | Claimant(s): Austin Morton
Claimant Lawyers(s): Joe E. White
Respondent(s): Edward Jones
Respondent Lawyers(s): Jonathan W. Hackbarth
Arbitrator(s): Vicki J. Limas, James W. Kerr, Paula Patrick Kerrigan
Hearing Site: Oklahoma City, OK
| | |
| 15-01424 | 10/21/2020 | Claimant(s): Ana Gonzalez, Rodrigo Freytes
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): Carlos Seda, Oriental Financial Services Corp.
Respondent Lawyers(s): Carlos W. Seda, Pedro Hernandez-Freire
Arbitrator(s): Martin A. Feigenbaum, James W. Kerr, Bernard Travis Holmes
Hearing Site: San Juan, PR
| | $42,871 |
| 18-04019 | 02/18/2020 | Claimant(s): Carolyn Smith, Charles Gibson, Courtney Watson, Dana McElveen, David McElveen, Edwin Batiz, John Watson, Joyce Bedsole, Kenneth Roberts, Mary Jo Kearfott, Michael Kogutt, Paul Smith, Randy Kogutt, Robert Burns, Samuel Kogutt, Thomas Towne, Travis Bedsole, Virginia Scherer, English Garden LLC, Estate of Lawrence Lester, Bobby E. Sapp IRA, Carol I. Bordok IRA, James A. Windom IRA, James Thannum IRA, Stanley McMorris IRA, Thomas Carter Towne IRA, Travis Bedsole IRA, W. Hibbett Neel IRA, Dr. Eric Lewis, Tte for Southwest Center, Thannum Revocable Living Trust, Thomas & Virginia Scherer Credit Shelter
Claimant Lawyers(s): Donald L. Ferguson, Scott D. Hirsch
Respondent(s): Pershing LLC
Respondent Lawyers(s): Jeffrey J. Chapman
Arbitrator(s): William L. Cravens, Frances Johnson Wright, James W. Kerr
Hearing Site: Dallas, TX
| | $5,645,370 |
| 18-03545 | 06/05/2019 | Claimant(s): Heath Abernathy
Claimant Lawyers(s): Louis D. Tambaro
Respondent(s): Sagepoint Financial.
Respondent Lawyers(s): Bradley A. Fishman
Arbitrator(s): James W. Kerr
Hearing Site: Dallas, TX
| | |
| 18-03024 | 05/08/2019 | Claimant(s): Donna M. Lavery 1993 Trust, James W. Lavery 1993 Trust
Claimant Lawyers(s): James W. Lavery
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Jeffery D. Rodgers
Arbitrator(s): James W. Kerr
Hearing Site: Oklahoma City, OK
| | $0 |
| 17-00648 | 08/22/2018 | Claimant(s): Robert Price, Robert Alan Price, IRA
Claimant Lawyers(s): Theodore C. Houdek
Respondent(s): KCD Financial.
Respondent Lawyers(s): Charles M. O'Rourke
Arbitrator(s): Lawrence R. Maxwell, James W. Kerr, Christian Dennie
Hearing Site: Dallas, TX
| | Expungement |
| 15-03427 | 02/09/2017 | Claimant(s): June Burns, Perry Burns
Claimant Lawyers(s): David P. Meyer
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): Chris Lazarini
Arbitrator(s): James W. Kerr
Hearing Site: Dallas, TX
| | $117,350 |
| 15-02271 | 08/16/2016 | Claimant(s): Todd Storaska
Claimant Lawyers(s): Robert M. Thornton
Respondent(s): LPL Financial LLC, Mark Durham
Respondent Lawyers(s): Thomas F. Barnett
Arbitrator(s): Daniel A. Kile, James W. Kerr, Wanda Martinez
Hearing Site: Dallas, TX
| | |
