| 23-02915 | 11/18/2024 | Claimant(s): Philip Maliniak, Xerxes Nabong
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): Sagepoint Financial., United Planners' Financial Services Of A
Respondent Lawyers(s): David B. Hauer, Jennifer R. Cox
Arbitrator(s): Michael J. Ahlstrom, Gordon M. Wase, Everett Reveley
Hearing Site: Norfolk, VA
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| 23-02840 | 07/11/2024 | Claimant(s): Robert Wheeler
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Edward Jones
Respondent Lawyers(s): Jonathan W. Hackbarth
Arbitrator(s): Michael J. Ahlstrom
Hearing Site: Raleigh, NC
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| 23-02811 | 07/05/2024 | Claimant(s): Lisa Mantei
Claimant Lawyers(s): Anthony Paduano
Respondent(s): Centaurus Financial.
Respondent Lawyers(s): Michael J Carey
Arbitrator(s): Michael J. Ahlstrom
Hearing Site: Columbia, SC
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| 23-02929 | 06/24/2024 | Claimant(s): Atul Makharia
Claimant Lawyers(s): Anthony Paduano
Respondent(s): Centaurus Financial.
Respondent Lawyers(s): Michael J. Carey
Arbitrator(s): Michael J. Ahlstrom
Hearing Site: Columbia, SC
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| 23-02712 | 06/04/2024 | Claimant(s): Roger Green
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Cetera Advisors LLC
Respondent Lawyers(s): David Feldstein
Arbitrator(s): Michael J. Ahlstrom
Hearing Site: Atlanta, GA
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| 23-01243 | 03/13/2024 | Claimant(s): Andrew Ruud
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): U.S. Bancorp Investments.
Respondent Lawyers(s): Briana Al Taqatqa
Arbitrator(s): Michael J. Ahlstrom
Hearing Site: Nashville, TN
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| 23-01923 | 02/27/2024 | Claimant(s): John Westmoreland
Claimant Lawyers(s): Peter S. Fruin
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Katelyn H. Wilson
Arbitrator(s): Michael J. Ahlstrom
Hearing Site: Atlanta, GA
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| 23-01340 | 01/12/2024 | Claimant(s): Jack Thacker
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Center Street Securities.
Respondent Lawyers(s): Unbo (Bob) Chung
Arbitrator(s): Michael J. Ahlstrom, Jeffrey S. Fannon, Eric Matthew Bittner
Hearing Site: Nashville, TN
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| 23-01472 | 10/17/2023 | Claimant(s): Kurt Mattson
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Northwestern Mutual Investment Services,
Respondent Lawyers(s): Clarke C. Greene
Arbitrator(s): Michael J. Ahlstrom
Hearing Site: Atlanta, GA
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| 23-00110 | 09/29/2023 | Claimant(s): Darryl Fyall
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): MSI Financial Services.
Respondent Lawyers(s): Martin Harris
Arbitrator(s): Michael J. Ahlstrom
Hearing Site: Columbia, SC
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