| 18-03405 | 03/06/2019 | Claimant(s): Albert Alexander
Claimant Lawyers(s): Mark D. Griffin
Respondent(s): B. Riley Wealth Management
Respondent Lawyers(s): James T. Ritt
Arbitrator(s): Langfred W. White
Hearing Site: Memphis, TN
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| 13-03199 | 11/15/2016 | Claimant(s): Wunderlich Securities.
Claimant Lawyers(s): Mark D. Griffin
Respondent(s): Joseph Glodek, Richard Libretti
Respondent Lawyers(s): Kevin Barber
Arbitrator(s): Margaret Leggett Tarver
Hearing Site: Newark, NJ
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| 15-01267 | 11/23/2015 | Claimant(s): Wunderlich Securities.
Claimant Lawyers(s): Mark D. Griffin
Respondent(s): April Morris-Spicer
Respondent Lawyers(s): April C. Morris-Spicer
Arbitrator(s): Charles A. Joplin
Hearing Site: Dallas, TX
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| 13-03438 | 02/11/2015 | Claimant(s): Patrick Broome
Claimant Lawyers(s): Whitman B. Johnson
Respondent(s): Paxton Farese, Sound Financial Strategies Group, The Farese Group
Respondent Lawyers(s): Mark D. Griffin, Patrick F. McAllister
Arbitrator(s): Richard C. Downing, Coleman Robert Perry, Onnig Hatchig Dombalagian
Hearing Site: Jackson, MS
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| 12-00391 | 10/04/2012 | Claimant(s): Karen Purdie
Claimant Lawyers(s): Karen E Purdie
Respondent(s): Wunderlich Securities.
Respondent Lawyers(s): Mark D. Griffin
Arbitrator(s): Annette B. Meyers, David S. Paul, Albert L. Akerman
Hearing Site: New York, NY
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| 11-00203 | 09/12/2011 | Claimant(s): Isidore Kaplan
Claimant Lawyers(s): Robert L. Yeager
Respondent(s): Capital Securities Of America., Wunderlich Securities.
Respondent Lawyers(s): Mark D. Griffin
Arbitrator(s): Michael E. Rohde
Hearing Site: Dallas, TX
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