| 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
| | |
| 14-03120 | 04/21/2015 | Claimant(s): Matthew Lowe, Michael Magruder
Claimant Lawyers(s): David E. Robbins
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): Kelli Hartsook
Arbitrator(s): William E. Hartsfield, Daniel A. Kile, Stephen Ronald Crissey
Hearing Site: Dallas, TX
| | |
| 13-02027 | 08/21/2014 | Claimant(s): Kari Taylor
Claimant Lawyers(s): Kari Taylor
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): John Starnes
Arbitrator(s): Diane Muse, Phillip Lee Scheldt, Daniel A. Kile
Hearing Site: Dallas, TX
| | |
| 12-02936 | 10/01/2013 | Claimant(s): Scott Miller
Claimant Lawyers(s): Mark W. Bayer
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Andrew R. Harvin
Arbitrator(s): Daniel A. Kile, Lawrence R. Maxwell, Joseph G. Werner
Hearing Site: Dallas, TX
|  | $96,436 |
| 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 |
| 11-03231 | 04/19/2012 | Claimant(s): Esposito Securities
Claimant Lawyers(s): Katy L. Sheppard
Respondent(s): Stephen Capurso
Respondent Lawyers(s): Brian J. Hurst
Arbitrator(s): Daniel A. Kile, Richard C. Corse, Joseph G. Werner
Hearing Site: Dallas, TX
| | |
| 09-01485 | 03/24/2011 | Claimant(s): Adam C. Singer 2004 Trust U/A DTD 20FEB0
Claimant Lawyers(s): Scott A. Shanes
Respondent(s): Goldman, Sachs and Company
Respondent Lawyers(s): Sharon J. Shumway
Arbitrator(s): Maxel (Bud) B. Silverberg, Daniel A. Kile, Richard Frederick Schaufert
Hearing Site: Dallas, TX
| | $450,000 |
| 09-02634 | 12/02/2010 | Claimant(s): Reef Securities.
Claimant Lawyers(s): Joel Held
Respondent(s): James Buquoi, Ryan Wright
Respondent Lawyers(s): Cleveland G. Clinton
Arbitrator(s): G. Dale McKissick, Daniel A. Kile, Nicole T. LeBoeuf
Hearing Site: Dallas, TX
| | |
| 08-04163 | 07/13/2010 | Claimant(s): Sandra Kobel
Claimant Lawyers(s): Robert Ruotolo
Respondent(s): Cessford Prentice, 1st Global Advisors., 1st Global Capital Corp., 1st Global Insurance Services., 1st Global Retirement Services., 1st Global.
Respondent Lawyers(s): William N. Radford
Arbitrator(s): Daniel A. Kile, Martha Z. Ralstin, Charles Lynn Schmidt
Hearing Site: Dallas, TX
| | |
| 07-02546 | 11/10/2008 | Claimant(s): Roger Anderson
Claimant Lawyers(s): Joan A. Renegar
Respondent(s): Southwest Securities.
Respondent Lawyers(s): Bryan J. Hurst
Arbitrator(s): G. Dale McKissick, Daniel A. Kile, Edward J. Lynch
Hearing Site: Dallas, TX
| | |
