| 14-03870 | 07/12/2016 | Claimant(s): Frank Christensen
Claimant Lawyers(s): Anthony Paduano
Respondent(s): Mark Nauman, William Gollner, KCCI, Ltd., Lampert Capital Markets Inc.
Respondent Lawyers(s): Paul F. Carvelli, Randy Lampert
Arbitrator(s): Richard W. Vallario, Thomas E. Duggan, Madelyn A. Levy
Hearing Site: New York, NY
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| 12-03152 | 03/10/2014 | Claimant(s): Ricky McReynolds
Claimant Lawyers(s): Ricky Allen McReynolds
Respondent(s): Robbi Jones, Kipling Jones & Co., Ltd.
Respondent Lawyers(s): R. Kipling Jones
Arbitrator(s): John J. Bucko, D. Bruce Shine, Neil Harvey Smith
Hearing Site: Nashville, TN
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| 12-00385 | 08/21/2013 | Claimant(s): Richard Groff, Wealth Management International, Ltd.
Claimant Lawyers(s): Edwin A. Barkel
Respondent(s): Adam Carlini, Jackie Groff, Jennifer Carlini, Dynamic Wealth Management LLC
Respondent Lawyers(s): Cory L. Braddock, Edwin A. Barkel
Arbitrator(s): Charles W. Herf, Eugene R. Nielson, Jay Lawrence Witkin
Hearing Site: Phoenix, AZ
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| 11-02350 | 01/10/2012 | Claimant(s): SWBC Investment Services
Claimant Lawyers(s): Retta A. Miller
Respondent(s): Greg Thompson, Titleist Asset Management, Ltd.
Respondent Lawyers(s): Royal B. Lea
Arbitrator(s): Linda Broocks, Arno C. Schwethelm, Lynne M. Gomez
Hearing Site: Houston, TX
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| 09-02635 | 06/18/2010 | Claimant(s): Tullett Prebon Financial Services LLC
Claimant Lawyers(s): Thomas B. Kinzler
Respondent(s): Citigroup Global Markets., Citigroup Global Markets, Ltd.
Respondent Lawyers(s): Susan J. Steinthal
Arbitrator(s): Richard S. Peskin, William C. Struyk, Richard J. McLynn
Hearing Site: New York, NY
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