| 23-02851 | 09/30/2024 | Claimant(s): Ryan Malloch
Claimant Lawyers(s): Peter Lindholm
Respondent(s): Cetera Advisors LLC
Respondent Lawyers(s): Steven E. Mellen
Arbitrator(s): Tracy L. Allen
Hearing Site: Detroit, MI
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| 23-02873 | 06/21/2024 | Claimant(s): Louis Wargo
Claimant Lawyers(s): Jack D. Butler
Respondent(s): Equitable Advisors, FSC Securities Corporation
Respondent Lawyers(s): Jennifer R. Cox, Kevin W. Brooks
Arbitrator(s): Tracy L. Allen, David Arnold, Michael Alan Ellis
Hearing Site: Cleveland, OH
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| 23-02366 | 06/18/2024 | Claimant(s): Jason Zoch
Claimant Lawyers(s): Angela A. Turiano
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Amanda Parisi
Arbitrator(s): Tracy L. Allen, Susan L. Walker, Kevin P. Feerick
Hearing Site: Indianapolis, IN
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| 23-03015 | 06/18/2024 | Claimant(s): Thomas Scheiman
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Independence Capital Co..
Respondent Lawyers(s): Dennis C. Twarogowski
Arbitrator(s): Tracy L. Allen
Hearing Site: Cleveland, OH
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| 23-01321 | 06/07/2024 | Claimant(s): James Lineweaver
Claimant Lawyers(s): Gerry Kowalski
Respondent(s): Triad Advisors LLC, Sigma Financial Corporation
Respondent Lawyers(s): Amir Tadjedin, Jennifer R. Cox
Arbitrator(s): Tracy L. Allen
Hearing Site: Cleveland, OH
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| 23-01304 | 05/20/2024 | Claimant(s): Frank Snyder
Claimant Lawyers(s): Chelsea Bauer
Respondent(s): Transamerica Financial Advisors
Respondent Lawyers(s): Susan D. Duff
Arbitrator(s): Tracy L. Allen
Hearing Site: St. Louis, MO
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| 23-01430 | 02/14/2024 | Claimant(s): Robert Huser
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Prudential Equity Group
Respondent Lawyers(s): Jennifer E. Novoselsky
Arbitrator(s): Tracy L. Allen
Hearing Site: Indianapolis, IN
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| 23-01125 | 12/26/2023 | Claimant(s): Sahand Elmtalab
Claimant Lawyers(s): Michael E. Rowe
Respondent(s): Mml Investors Services, Llc, Northwestern Mutual Investment Services,
Respondent Lawyers(s): Clarke C. Greene, Jullie E. Ravis
Arbitrator(s): Tracy L. Allen
Hearing Site: Minneapolis, MN
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| 23-00713 | 12/18/2023 | Claimant(s): Albert Kohout
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Garrett R. Wynne
Arbitrator(s): Tracy L. Allen
Hearing Site: Indianapolis, IN
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| 23-00365 | 11/09/2023 | Claimant(s): Patrick Murphy
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Roxanna V. Gonzalez
Arbitrator(s): Tracy L. Allen
Hearing Site: Minneapolis, MN
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