| 20-02117 | 01/15/2021 | Claimant(s): Timothy Lofton
Claimant Lawyers(s): Brian Luther
Respondent(s): Wells Fargo Advisors Financial Network, UBS Financial Services Inc.
Respondent Lawyers(s): Deirdre Wolff, Omar Perez
Arbitrator(s): John C. Aten
Hearing Site: Cincinnati, OH
| | |
| 20-01793 | 12/23/2020 | Claimant(s): Todd Roselle
Claimant Lawyers(s): Brian Luther
Respondent(s): Cambridge Investment Research., Securian Financial Services.
Respondent Lawyers(s): Richard H. Kuhlman, Richard J. Babnick
Arbitrator(s): Patrick R. Westerkamp
Hearing Site: Wilmington, DE
| | |
| 20-01596 | 12/22/2020 | Claimant(s): Christopher Michalak
Claimant Lawyers(s): Brian Luther
Respondent(s): Avantax Investment Services.
Respondent Lawyers(s): Judith Knudsen
Arbitrator(s): William M. Azkoul
Hearing Site: Detroit, MI
| | |
| 20-01336 | 12/18/2020 | Claimant(s): Kassie Soulek
Claimant Lawyers(s): Brian Luther
Respondent(s): SII Investments.
Respondent Lawyers(s): Eric A. Michaels
Arbitrator(s): Lynn Hirschfeld Brahin
Hearing Site: Milwaukee, WI
| | |
| 20-01988 | 12/09/2020 | Claimant(s): Brian Smoot
Claimant Lawyers(s): Brian Luther
Respondent(s): Securities America.
Respondent Lawyers(s): Tyler Schubauer
Arbitrator(s): Jeff Abrams
Hearing Site: Dallas, TX
| | |
| 20-00776 | 12/03/2020 | Claimant(s): Christopher Jacob
Claimant Lawyers(s): Brian Luther
Respondent(s): First Heartland Capital., Transamerica Financial Advisors
Respondent Lawyers(s): Jeanne A. Jehle, Susan D. Duff
Arbitrator(s): Robert J. Gryzmala
Hearing Site: St. Louis, MO
| | |
| 20-01376 | 11/24/2020 | Claimant(s): Edmund Iannacone
Claimant Lawyers(s): Brian Luther
Respondent(s): Ameriprise Financial Services, UBS Financial Services Inc.
Respondent Lawyers(s): Howard M. Klausmeier, Omar Perez
Arbitrator(s): Martin R. Cramer
Hearing Site: Newark, NJ
| | |
| 20-00868 | 11/06/2020 | Claimant(s): Steven Ferretti
Claimant Lawyers(s): Brian Luther
Respondent(s): Morgan Stanley DW Inc., AIG Capital Services.
Respondent Lawyers(s): Jeremy S. Winer, Michael S. Cargnel
Arbitrator(s): Steven M. Bialick
Hearing Site: Minneapolis, MN
| | |
| 20-01158 | 10/29/2020 | Claimant(s): Micahel Chadwick
Claimant Lawyers(s): Brian Luther
Respondent(s): Cambridge Investment Research., Portsmouth Financial Services
Respondent Lawyers(s): Randy Fox, Richard Kuhlman
Arbitrator(s): Steven R. Rolnick
Hearing Site: Hartford, CT
| | |
| 20-00791 | 10/05/2020 | Claimant(s): Steven Jablonski
Claimant Lawyers(s): Brian Luther
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Joseph J. Dougherty
Hearing Site: Philadelphia, PA
| | |
