| 23-02338 | 05/16/2024 | Claimant(s): Steven Mogul
Claimant Lawyers(s): Craig A. Riha
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): John Murphy
Arbitrator(s): Leonard Arthur Nelson
Hearing Site: Chicago, IL
| | |
| 23-01207 | 12/19/2023 | Claimant(s): Andrew Denney
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jon D. Kaplon
Arbitrator(s): Leonard Arthur Nelson
Hearing Site: Kansas City, MO
| | |
| 22-02319 | 05/03/2023 | Claimant(s): Timothy Kneen
Claimant Lawyers(s): James P Galvin
Respondent(s): UBS Financial Services Inc., Citigroup Global Markets.
Respondent Lawyers(s): Adam M. Kauff, John Murphy
Arbitrator(s): Leonard Arthur Nelson, Tosh Daniel Grebenik, Matthew Stalcup
Hearing Site: Denver, CO
| | |
| 17-00464 | 10/17/2022 | Claimant(s): Richard Lanpher
Claimant Lawyers(s): Michael C. Mahoney
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kimberley E. Lunetta
Arbitrator(s): Robert Benbow Phillips, Leonard Arthur Nelson, Richard Beens
Hearing Site: Minneapolis, MN
| | |
| 22-00529 | 09/26/2022 | Claimant(s): Nathan Kinzinger
Claimant Lawyers(s): Michael P. Tomlinson
Respondent(s): Northwestern Mutual Investment Services
Respondent Lawyers(s): Thomas K. Anderson
Arbitrator(s): Mitchell Lee Marinello, Leonard Arthur Nelson, Lynn Hirschfeld Brahin
Hearing Site: Chicago, IL
| | |
| 16-02825 | 11/05/2021 | Claimant(s): David Hirsch, James Kelly, James Whitney, Mark Hutchinson, Mary DiChristofano, Michael Board, Michael Sakach, Paul Vandenheuvel
Claimant Lawyers(s): Barry R. Lax
Respondent(s): Credit Suisse Securities (USA) LLC
Respondent Lawyers(s): Brian E. Spang
Arbitrator(s): Steven H. Vogel, Leonard Arthur Nelson, Richard Lane Miller
Hearing Site: Chicago, IL
| | |
| 20-02994 | 06/15/2021 | Claimant(s): Jodi Miller-Hammes
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Ameriprise Financial Services
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Leonard Arthur Nelson
Hearing Site: Minneapolis, MN
| | |
| 20-01789 | 01/14/2021 | Claimant(s): Kyle Stone
Claimant Lawyers(s): Gregory B. Simon
Respondent(s): Edward Jones
Respondent Lawyers(s): Annie Zaffuto
Arbitrator(s): Leonard Arthur Nelson
Hearing Site: Chicago, IL
| | |
| 20-01328 | 01/13/2021 | Claimant(s): Gary Tangwall
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Thrivent Investment Management Inc.
Respondent Lawyers(s): Jeffrey A. Ziesman
Arbitrator(s): Leonard Arthur Nelson
Hearing Site: Minneapolis, MN
| | |
| 18-02615 | 03/10/2020 | Claimant(s): Francisco Guadalupe
Claimant Lawyers(s): Brittany Weiner
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Jeffrey S. Dunlap
Arbitrator(s): Frederic M. Rizzo, Leonard Arthur Nelson, David Michael Rafferty
Hearing Site: Chicago, IL
| | |
