| 24-00431 | 09/25/2024 | Claimant(s): Dax Seale
Claimant Lawyers(s): George L. Guerra
Respondent(s): Raymond James & Associates.
Respondent Lawyers(s): Gianluca Morello
Arbitrator(s): Chandler R. Bridges, Peter N. Thompson, Mary Kathleen Coleman
Hearing Site: Dallas, TX
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| 19-03484 | 11/09/2020 | Claimant(s): Atul Bhatia
Claimant Lawyers(s): Atul Kumar Bhatia
Respondent(s): EFG Capital International
Respondent Lawyers(s): Jonathan S. Robbins
Arbitrator(s): James A. Lundberg, Peter N. Thompson, Frederick Ramos
Hearing Site: Minneapolis, MN
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| 17-02974 | 09/16/2019 | Claimant(s): Diana Peterson
Claimant Lawyers(s): Michael C. Mahoney
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): Marko J. Mrkonich
Arbitrator(s): Roger George Lindquist, Peter N. Thompson, Nell Mathews
Hearing Site: Minneapolis, MN
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| 18-03936 | 05/06/2019 | Claimant(s): Bradley Childs
Claimant Lawyers(s): Bradley D. Childs
Respondent(s): Silber Bennett Financial.
Respondent Lawyers(s): Jamie Bennett
Arbitrator(s): Peter N. Thompson
Hearing Site: Minneapolis, MN
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| 18-00053 | 10/26/2018 | Claimant(s): Mark Stephan
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Lincoln Financial Advisors Corporation
Respondent Lawyers(s): Kyle Osting
Arbitrator(s): Peter N. Thompson
Hearing Site: Minneapolis, MN
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| 18-00484 | 09/07/2018 | Claimant(s): Patrick Kelly
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Miller Johnson Steichen Kinnard.
Respondent Lawyers(s): William M. Goblirsch
Arbitrator(s): Peter N. Thompson
Hearing Site: Minneapolis, MN
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| 17-03018 | 08/07/2018 | Claimant(s): Sean McDermott
Claimant Lawyers(s): Armin Sarabi
Respondent(s): LPL Financial LLC, Securities America.
Respondent Lawyers(s): Christina M. Heller, Jon D. Kaplon
Arbitrator(s): Peter N. Thompson
Hearing Site: Minneapolis, MN
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| 10-01502 | 06/21/2011 | Claimant(s): Thomas Laird
Claimant Lawyers(s): David E. Schlesinger
Respondent(s): Gerry Hairgrove, James Tricolli, RBC Capital Markets LLC, Stephen Yanisch
Respondent Lawyers(s): Kim M. Ruckdaschel-Haley
Arbitrator(s): Robert E. Robertson, Mark S. Gleason, Peter N. Thompson
Hearing Site: Minneapolis, MN
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