| 23-00057 | 08/04/2023 | Claimant(s): Matthew Kennedy
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Invest Financial Corporation
Respondent Lawyers(s): Eric A. Michaels
Arbitrator(s): Michael J. Ahlstrom
Hearing Site: Nashville, TN
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| 22-02369 | 07/10/2023 | Claimant(s): Christopher Hagen
Claimant Lawyers(s): Joel M. Everest
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): Laura Ruiz Rivera
Arbitrator(s): Michael J. Ahlstrom
Hearing Site: Birmingham, AL
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| 22-02764 | 06/12/2023 | Claimant(s): Alan Kent
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): First Allied Securities.
Respondent Lawyers(s): Jeremy Wooden
Arbitrator(s): Michael J. Ahlstrom
Hearing Site: Jackson, MS
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| 22-00857 | 06/08/2023 | Claimant(s): Michael Ballard
Claimant Lawyers(s): Chelsea Bauer
Respondent(s): Concourse Financial Group Securities, In, G.F. Investment Services
Respondent Lawyers(s): Larry W. Yager, Margaret M. Siller
Arbitrator(s): Michael J. Ahlstrom
Hearing Site: Birmingham, AL
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| 21-00243 | 03/24/2023 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Keith J. Barnett
Respondent(s): Jaylon Ellison
Respondent Lawyers(s): William R. Carlisle
Arbitrator(s): Michael J. Ahlstrom
Hearing Site: Atlanta, GA
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| 22-01753 | 01/27/2023 | Claimant(s): Don Rudolph
Claimant Lawyers(s): James P. Galvin
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Kelsey Vasko
Arbitrator(s): Michael J. Ahlstrom, Michael J. Pasquale, Paul Nicholas Inserra
Hearing Site: Raleigh, NC
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| 22-01659 | 01/11/2023 | Claimant(s): Margaret Wiley
Claimant Lawyers(s): Bryan Ward
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): Laura Ruiz Rivera
Arbitrator(s): Edward R. Hipp, Michael J. Ahlstrom, John D. Mattingly
Hearing Site: Norfolk, VA
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| 21-01391 | 12/13/2022 | Claimant(s): Christine Bourdelais
Claimant Lawyers(s): Christine Callie Bourdelais
Respondent(s): NYLife Securities LLC, NY Life Insurance Company of Arizona, New York Life Insurance & Annuity Corp., New York Life Insurance Company
Respondent Lawyers(s): Christopher J. Murdoch
Arbitrator(s): Michael J. Ahlstrom, Lawrence M. Barnes, Catherine Esther Bocskor
Hearing Site: Norfolk, VA
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| 22-00861 | 11/29/2022 | Claimant(s): Michael Ballard
Claimant Lawyers(s): Chelsea Bauer
Respondent(s): Madison Avenue Securities
Respondent Lawyers(s): Bradley Ziegler
Arbitrator(s): Michael J. Ahlstrom
Hearing Site: Birmingham, AL
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| 22-00321 | 11/09/2022 | Claimant(s): Larry Tolbert
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): FSC Securities Corporation, Sagepoint Financial., MSI Financial Services.
Respondent Lawyers(s): James V. Noblett, Martin Harris
Arbitrator(s): Michael J. Ahlstrom
Hearing Site: Memphis, TN
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