| 23-01727 | 06/24/2024 | Claimant(s): Jennifer Jack
Claimant Lawyers(s): Harris Freedman
Respondent(s): ADP Broker-Dealer.
Respondent Lawyers(s): Matthew V. DelDuca
Arbitrator(s): Karl A. Vogeler
Hearing Site: Tampa, FL
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| 23-02285 | 02/12/2024 | Claimant(s): Michael Goodner
Claimant Lawyers(s): Michael Eugene Goodner
Respondent(s): Triad Advisors LLC
Respondent Lawyers(s): Gregory Curley
Arbitrator(s): Karl A. Vogeler
Hearing Site: Nashville, TN
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| 23-01215 | 01/22/2024 | Claimant(s): Brent Turner
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): QA3 Financial Corp., Transamerica Financial Advisors
Respondent Lawyers(s): Stephen K. Wild, Susan D. Duff
Arbitrator(s): Karl A. Vogeler
Hearing Site: Nashville, TN
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| 22-01704 | 05/08/2023 | Claimant(s): Cary Kleinfield
Claimant Lawyers(s): Harris Freedman
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): Gianluca Morello
Arbitrator(s): Karl A. Vogeler
Hearing Site: Tampa, FL
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| 22-02054 | 04/06/2023 | Claimant(s): John Redhead
Claimant Lawyers(s): Benjamin J. Biard
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Joelle A. Simms
Arbitrator(s): Maurice M. Feller, Howard B. Scherer, Karl A. Vogeler
Hearing Site: Tampa, FL
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| 19-03604 | 10/26/2022 | Claimant(s): Daniel Parker, Edison Parker, Michael Brinton
Claimant Lawyers(s): Dennis J. Concilla
Respondent(s): Cary Street Partners
Respondent Lawyers(s): Todd Ratner
Arbitrator(s): George Michael Cross, John G. Manley, Karl A. Vogeler
Hearing Site: Nashville, TN
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| 20-01831 | 01/18/2022 | Claimant(s): Nancy Mellon
Claimant Lawyers(s): Nancy Kimball Mellon
Respondent(s): Wells Fargo Advisors Financial Network, Wells Fargo Clearing Services
Respondent Lawyers(s): Neil M. Katsuyama
Arbitrator(s): Gary L. Hodge, Karl A. Vogeler, Richard Kennard Hurley
Hearing Site: Tampa, FL
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| 21-02619 | 12/28/2021 | Claimant(s): James Candella
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Karl A. Vogeler
Hearing Site: Nashville, TN
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| 21-00653 | 11/23/2021 | Claimant(s): Lee Hooks
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Matthew Bohenek
Arbitrator(s): Karl A. Vogeler
Hearing Site: Nashville, TN
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| 21-00170 | 09/17/2021 | Claimant(s): Lisa Kulhavi
Claimant Lawyers(s): N. Nancy Ghabai
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Sara B. Davis
Arbitrator(s): Karl A. Vogeler
Hearing Site: Tampa, FL
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