| 14-00886 | 10/09/2015 | Claimant(s): Carmen Buono Colon
Claimant Lawyers(s): Edward H. Glenn
Respondent(s): Popular Securities, Santander Securities LLC
Respondent Lawyers(s): Nathan W. Lamb, Sara L. Velez-Santiago
Arbitrator(s): James W. Geiger, William H. Fleece, Robert Jerry Strader
Hearing Site: San Juan, PR
|  | Expungement |
| 13-03412 | 05/07/2015 | Claimant(s): The Lawrence Rosenbloom Charitable
Claimant Lawyers(s): Richard A. Lewins
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Christopher Tovar
Arbitrator(s): Phillip Lee Scheldt, Robert Jerry Strader, Russell Phillips Gandy
Hearing Site: Dallas, TX
| | $434,900 |
| 12-00016 | 04/01/2014 | Claimant(s): Jay Dickens, Command Decisions., New Territory Investments, Ltd
Claimant Lawyers(s): Bryan T. Forman
Respondent(s): Ricky Mullins, Guardian Direct Energy Programs., Guardian Oil & Gas ., M & W Financial Inc.
Respondent Lawyers(s): Rick Mullins
Arbitrator(s): R. Theodore Moock, Ann Blaess Kimball, Robert Jerry Strader
Hearing Site: Dallas, TX
| | Stipulated Award |
| 12-00388 | 10/03/2013 | Claimant(s): Neeley Chancellor, Neeley Morris Chancellor Trust
Claimant Lawyers(s): Bryan T. Forman
Respondent(s): LPL Financial LLC, Jimmy Holcomb, Richard Stone, Edward Jones
Respondent Lawyers(s): Charles A. Hammaker
Arbitrator(s): C. Sumpter Logan, Paul L. Salzberger, Robert Jerry Strader
Hearing Site: Dallas, TX
| | Expungement |
| 10-04765 | 09/14/2012 | Claimant(s): Craig Dyas, Jacqueline Dyas
Claimant Lawyers(s): Hugh N. Lyle
Respondent(s): John Ross, Morgan Stanley, Rodney Fallin
Respondent Lawyers(s): Christine A. Kendrick, Donald R. Littlefield
Arbitrator(s): Roland D. Freeman, C. Sumpter Logan, Robert Jerry Strader
Hearing Site: Dallas, TX
| | Expungement |
| 10-01647 | 02/21/2012 | Claimant(s): Rhonda Foster
Claimant Lawyers(s): David Neuman
Respondent(s): Cannen Ferrell, James Walsh
Respondent Lawyers(s): David C. Holt, Robert J. Girard
Arbitrator(s): Arthur H. Geffen, Robert Jerry Strader, Alan Keith Goldfarb
Hearing Site: Dallas, TX
| | Expungement |
| 07-02796 | 09/15/2008 | Claimant(s): George Brown, Jean Brown
Claimant Lawyers(s): H. Dale Langley
Respondent(s): Stephen Westphal, Edward Jones
Respondent Lawyers(s): Lin Hughes
Arbitrator(s): Robert J. Gregory, Preston Deaton Rigsby, Robert Jerry Strader
Hearing Site: Dallas, TX
| | $0 |
