| 23-02988 | 07/26/2024 | Claimant(s): Travis Hughes
Claimant Lawyers(s): Eric A. Michaels
Respondent(s): Investors Capital Corp.
Respondent Lawyers(s): David Feldstein
Arbitrator(s): Jay H. Feldstein
Hearing Site: Albuquerque, NM
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| 23-01161 | 05/31/2024 | Claimant(s): Travis Hughes
Claimant Lawyers(s): Michael Bessette
Respondent(s): Equitable Advisors
Respondent Lawyers(s): Renata Ortiz Bloom
Arbitrator(s): Charles Earle Riggs
Hearing Site: Albuquerque, NM
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| 20-01275 | 02/02/2024 | Claimant(s): Ryan Mummert
Claimant Lawyers(s): Michael Bessette
Respondent(s): Prudential Equity Group
Respondent Lawyers(s): Jennifer E. Novoselsky
Arbitrator(s): Laurel Littman Gothelf, Michael J Norton
Hearing Site: Albuquerque, NM
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| 23-00901 | 01/11/2024 | Claimant(s): Travis Hughes
Claimant Lawyers(s): Eric A. Michaels
Respondent(s): Investors Capital Corp.
Respondent Lawyers(s): David Feldstein
Arbitrator(s): Roger A. Geddes
Hearing Site: Albuquerque, NM
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| 23-01370 | 12/18/2023 | Claimant(s): Jorge Vielledent
Claimant Lawyers(s): Stephan Louviere
Respondent(s): Equitable Advisors
Respondent Lawyers(s): Kevin W. Brooks
Arbitrator(s): Donald Dreyfus
Hearing Site: Albuquerque, NM
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| 22-02196 | 12/07/2023 | Claimant(s): Hector Mejia, Mario Arnal Reveles
Claimant Lawyers(s): Christopher H. Tovar
Respondent(s): ADP Broker-Dealer.
Respondent Lawyers(s): Leigh H. McMonigle
Arbitrator(s): Albert T. T. Cook, Mary C. Davis, Walter Steven Schwartz
Hearing Site: Albuquerque, NM
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| 23-00184 | 09/14/2023 | Claimant(s): Todd Smith
Claimant Lawyers(s): James P Galvin
Respondent(s): LPL Financial LLC, Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff, Rochelle Mayfield
Arbitrator(s): Michael J Norton
Hearing Site: Albuquerque, NM
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| 22-00889 | 04/11/2023 | Claimant(s): Mark Napolin, Michael Kiefer
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Royal Alliance Associates.
Respondent Lawyers(s): Jennifer R. Cox
Arbitrator(s): Roger A. Geddes
Hearing Site: Albuquerque, NM
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| 22-01665 | 03/16/2023 | Claimant(s): Henry Gallardo
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Investors Capital Corp., Securian Financial Services.
Respondent Lawyers(s): David Feldstein, Lisa Stopfer
Arbitrator(s): Walter Steven Schwartz
Hearing Site: Albuquerque, NM
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| 21-02773 | 08/26/2022 | Claimant(s): Roberto Blanco
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): NYLife Securities LLC, Investors Capital Corp.
Respondent Lawyers(s): Christopher J. Murdoch, David Feldstein
Arbitrator(s): Michael Lancaster Garcia
Hearing Site: Albuquerque, NM
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