| 22-01229 | 01/05/2024 | Claimant(s): Boustead Securities, Llc
Claimant Lawyers(s): Joseph Dale Wilson
Respondent(s): EBET.
Respondent Lawyers(s): Farhad Novian
Arbitrator(s): Joseph C. Watson, Richard Maurice Robinson, Michael Craig Ditty
Hearing Site: Los Angeles, CA
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| 23-01125 | 12/26/2023 | Claimant(s): Sahand Elmtalab
Claimant Lawyers(s): Michael E. Rowe
Respondent(s): Mml Investors Services, Llc, Northwestern Mutual Investment Services,
Respondent Lawyers(s): Clarke C. Greene, Jullie E. Ravis
Arbitrator(s): Tracy L. Allen
Hearing Site: Minneapolis, MN
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| 20-01899 | 02/15/2022 | Claimant(s): Kristi Trowbridge, Stephen Trowbridge
Claimant Lawyers(s): Ross E Webster
Respondent(s): Kestra Investment Services, Llc
Respondent Lawyers(s): Lydia R. Zaidman
Arbitrator(s): Bill Lamoreaux, Victor L. Hayslip, Charles Lange Clark
Hearing Site: Birmingham, AL
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| 19-02598 | 07/23/2020 | Claimant(s): Mitchell Walk
Claimant Lawyers(s): Harris Freedman
Respondent(s): Kestra Investment Services, Llc
Respondent Lawyers(s): Richard D'Amura
Arbitrator(s): Martin M. Van Luven
Hearing Site: Orlando, FL
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| 19-00345 | 09/18/2019 | Claimant(s): Stephanie Abee
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Kestra Investment Services, Llc, Transamerica Financial Advisors
Respondent Lawyers(s): David J. Lehr, Susan D. Duff
Arbitrator(s): Kenneth R. Starr
Hearing Site: Raleigh, NC
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| 18-01308 | 07/11/2019 | Claimant(s): Wilfredo Mendez Morales
Claimant Lawyers(s): Philip J. Snyderburn
Respondent(s): Allstate Financial Services, Llc
Respondent Lawyers(s): Pete Tepley
Arbitrator(s): Larry G. Kjosa, Robert G. Bannon, Dwayne Eddie Hickman
Hearing Site: Orlando, FL
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| 18-04311 | 05/31/2019 | Claimant(s): Spartan Capital Securities, Llc
Claimant Lawyers(s): Matthew Fiorovanti
Respondent(s): Matthew Siliato
Respondent Lawyers(s): Matthew Angelo Siliato
Arbitrator(s): Karimu F. Hill-Harvey
Hearing Site: New York, NY
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| 18-02167 | 12/13/2018 | Claimant(s): Raymond Lucia
Claimant Lawyers(s): Robert Moses
Respondent(s): Lucia Securities, Llc
Respondent Lawyers(s): Viktoria Palermo CCO
Arbitrator(s): Mark R. Lee
Hearing Site: San Diego, CA
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| 18-01117 | 11/14/2018 | Claimant(s): Frank Cuenca
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Securities Service Network, Llc
Respondent Lawyers(s): Ronald T. Klimas
Arbitrator(s): Mark R. Lee
Hearing Site: San Diego, CA
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| 16-00917 | 05/02/2017 | Claimant(s): Edward Jones
Claimant Lawyers(s): Christopher A. Pickett
Respondent(s): Dudley Dupuis, Wells Fargo Advisors, Llc
Respondent Lawyers(s): Victor Hayslip
Arbitrator(s): Steven P. Gregory, Mark A. Myers, James L. Warren
Hearing Site: Birmingham, AL
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