| 23-01257 | 12/06/2023 | Claimant(s): Andrew Schroeder
Claimant Lawyers(s): James P. Galvin
Respondent(s): Cetera Advisors LLC
Respondent Lawyers(s): Jeremy Wooden
Arbitrator(s): William M. Azkoul
Hearing Site: Des Moines, IA
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| 21-02938 | 06/09/2022 | Claimant(s): Kenneth Wise
Claimant Lawyers(s): Anthony J. Borrelli
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Charlotte S. Wolfe
Arbitrator(s): Joseph Edelstein, William M. Azkoul, John C. Aten
Hearing Site: Cleveland, OH
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| 20-01596 | 12/22/2020 | Claimant(s): Christopher Michalak
Claimant Lawyers(s): Brian Luther
Respondent(s): Avantax Investment Services.
Respondent Lawyers(s): Judith Knudsen
Arbitrator(s): William M. Azkoul
Hearing Site: Detroit, MI
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| 20-00005 | 07/27/2020 | Claimant(s): Dustin Christopherson
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Securities America.
Respondent Lawyers(s): Laurel A. Whelan
Arbitrator(s): William M. Azkoul
Hearing Site: Minneapolis, MN
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| 19-00722 | 12/20/2019 | Claimant(s): James Sandager
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jon D. Kaplon
Arbitrator(s): William M. Azkoul
Hearing Site: Des Moines, IA
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| 19-00564 | 06/26/2019 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): John T. McGuire
Respondent(s): Christopher Coulter
Respondent Lawyers(s): Christopher Kevin Coulter
Arbitrator(s): William M. Azkoul
Hearing Site: St. Louis, MO
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| 11-00193 | 01/10/2014 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael F. Braun
Respondent(s): John Mann, Thomas Mann
Respondent Lawyers(s): Mark L. Kowalsky
Arbitrator(s): Mary Beth Wheeler, William C. Alsover, William M. Azkoul
Hearing Site: Detroit, MI
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| 10-03592 | 02/01/2011 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): John T. McGuire
Respondent(s): Paul Gabriel
Respondent Lawyers(s): Paul Thomas Gabriel
Arbitrator(s): William M. Azkoul
Hearing Site: Detroit, MI
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| 08-00797 | 02/27/2009 | Claimant(s): Robert W. Baird & Co. Incorporated
Claimant Lawyers(s): Scott J. Vold
Respondent(s): Christopher Ernvall, Morgan Stanley & Co., Larry Bluhm, Michele Vanderlinde
Respondent Lawyers(s): Eric S. Richards, John A. Hubbard
Arbitrator(s): Kenneth J. Safran, Chris D. Kontos, William M. Azkoul
Hearing Site: Detroit, MI
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