| 14-02939 | 05/09/2018 | Claimant(s): International Assets Advisory
Claimant Lawyers(s): Tracy L. Gerber
Respondent(s): Edward Cofrancesco, Mauricio Cardenas, Michael Montalvo
Respondent Lawyers(s): Curtis Carlson, Tracy L. Gerber
Arbitrator(s): Stuart K. Furman, Avery B. Goodman, Clarence B. Johnson, CLU, ChFC
Hearing Site: Orlando, FL
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| 15-01279 | 03/27/2017 | Claimant(s): Mauricio Cardenas
Claimant Lawyers(s): Chase Carlson
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Steven A. Siegel
Arbitrator(s): Richard J. Fuller, Clarence B. Johnson, CLU, ChFC, Sammia Pratt
Hearing Site: Orlando, FL
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| 15-00660 | 08/30/2016 | Claimant(s): Casey Sutton
Claimant Lawyers(s): Robert A. Bracken
Respondent(s): Pruco Securities.
Respondent Lawyers(s): Lorie E. Almon
Arbitrator(s): Stephen P. Hoffman, Michael C. Wittenberg, CPF, CLU, ChFC, Lisa Bass Morris
Hearing Site: Charlotte, NC
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| 11-02090 | 08/02/2012 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Timothy N. Will
Respondent(s): James Turner
Respondent Lawyers(s): James Turner
Arbitrator(s): Deborah C. Bernot, Stephanie P. Lebhar, Robert Miller Lawder, CLU
Hearing Site: Phoenix, AZ
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| 10-03040 | 07/21/2011 | Claimant(s): Ronald Brown
Claimant Lawyers(s): Christopher M. Whelchel
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): John G. McDonald
Arbitrator(s): Stephen P. Hoffman, Michael C. Wittenberg, CPF, CLU, ChFC, Margaret Elizabeth Gee
Hearing Site: Charlotte, NC
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| 05-05660 | 02/19/2008 | Claimant(s): AIG Financial Advisors.
Claimant Lawyers(s): Abby Henig
Respondent(s): Allen Darby
Respondent Lawyers(s): John F. Hanzel
Arbitrator(s): David P. McDuffee, John D. Robb, Michael C. Wittenberg, CPF, CLU, ChFC
Hearing Site: Charlotte, NC
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