| 21-00097 | 07/25/2022 | Claimant(s): Shawn Waked, Theresa Stone, Maestro Global
Claimant Lawyers(s): Reagan D. Pratt
Respondent(s): Raymond James Financial Services., Securities America., Jane Terry, Kathleen Kerr, Kirk Bell, Timothy Rivera
Respondent Lawyers(s): Gregory M. Curley, Peter S. Fruin, Scott C. Matasar
Arbitrator(s): Helen Marinak Blohm, Gene R Thornton, Jonathan H. Krotinger
Hearing Site: Albuquerque, NM
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| 21-01374 | 02/08/2022 | Claimant(s): Robert W. Baird & Co. Incorporated
Claimant Lawyers(s): J. Lucas McFarland
Respondent(s): Michael Barth
Respondent Lawyers(s): Michael David Barth
Arbitrator(s): Paul E. Dahlman
Hearing Site: Albuquerque, NM
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| 21-00826 | 11/22/2021 | Claimant(s): Kenneth Bowers
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): The Prudential Insurance Co of America
Respondent Lawyers(s): Jennifer E. Novoselsky
Arbitrator(s): Laurel Littman Gothelf
Hearing Site: Albuquerque, NM
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| 20-04058 | 08/23/2021 | Claimant(s): Thomas Chaney
Claimant Lawyers(s): James P Galvin
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jon D. Kaplon
Arbitrator(s): Gene R Thornton, John J. Fitzpatrick, Mary Margaret Bush
Hearing Site: Albuquerque, NM
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| 20-03438 | 03/31/2021 | Claimant(s): LPL Financial LLC
Claimant Lawyers(s): John W. Joyce
Respondent(s): Jacob Franco
Respondent Lawyers(s): Jacob Franco
Arbitrator(s): F. Guthrie Castle
Hearing Site: Albuquerque, NM
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| 18-02622 | 03/27/2020 | Claimant(s): UBS Financial Services Inc., UBS Credit Corp.
Claimant Lawyers(s): Michael F Braun
Respondent(s): Anthony Steffan, Pete Henderson
Respondent Lawyers(s): Clinton W. Marrs
Arbitrator(s): Martin M. Berliner, Paul E. Dahlman, John H. Fearnow
Hearing Site: Albuquerque, NM
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| 16-02348 | 07/11/2019 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Charles A. Hammaker
Respondent(s): James Armer
Respondent Lawyers(s): James David Armer
Arbitrator(s): John H. Fearnow
Hearing Site: Albuquerque, NM
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| 18-01162 | 11/29/2018 | Claimant(s): Travis Hughes
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Investors Capital Corp.
Respondent Lawyers(s): Christina Vourakis
Arbitrator(s): Laurel Littman Gothelf
Hearing Site: Albuquerque, NM
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| 18-01266 | 11/14/2018 | Claimant(s): Travis Hughes
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): AXA Advisors, The Equitable Life Assurance Society
Respondent Lawyers(s): Hector D. Geribon
Arbitrator(s): Daniel M. Yamshon
Hearing Site: Albuquerque, NM
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| 16-03006 | 10/06/2017 | Claimant(s): Travis Hughes
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): AXA Advisors, Investors Capital Corp.
Respondent Lawyers(s): Hector D. Geribon, Jeremy Carr
Arbitrator(s): Donald Dreyfus
Hearing Site: Albuquerque, NM
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