23-01795 | 08/28/2024 | Claimant(s): Michael Kuczinski Claimant Lawyers(s): Jennifer P. Farrar Respondent(s): OSAIC Wealth, Investors Capital Corp. Respondent Lawyers(s): David Feldstein, Jennifer R. Cox Arbitrator(s): Guillermo L. Bosch Hearing Site: Philadelphia, PA
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23-02972 | 08/09/2024 | Claimant(s): Keith Patterson Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Citigroup Global Markets., Securities America., Investacorp Inc. Respondent Lawyers(s): Adam Kauff, Jennifer R. Cox Arbitrator(s): Jeffrey R. Jury Hearing Site: Houston, TX
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23-01453 | 08/06/2024 | Claimant(s): Jeffery Sorensen Claimant Lawyers(s): Peter Lindholm Respondent(s): Triad Advisors LLC Respondent Lawyers(s): Jennifer R. Cox Arbitrator(s): Erik R. Siering Hearing Site: Los Angeles, CA
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23-02912 | 07/22/2024 | Claimant(s): Steven Maher Claimant Lawyers(s): Tosh D. Grebenik Respondent(s): American Portfolios Financial Srvs., Next Financial Group. Respondent Lawyers(s): Jennifer R. Cox, John T. Unger Arbitrator(s): Denise L. Quarles, Leslie Ruth Nydick, Jennifer K. Adams Hearing Site: Jersey City, NJ
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23-02847 | 07/12/2024 | Claimant(s): Thomas Pusser Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Triad Advisors LLC Respondent Lawyers(s): Jennifer R. Cox Arbitrator(s): Richard P. Regan Hearing Site: Richmond, VA
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23-03035 | 07/09/2024 | Claimant(s): Curt Caserta, Lee Duckworth, Peter Alofsin Claimant Lawyers(s): Eric A. Bensky Respondent(s): Triad Advisors LLC, Kestra Investment Services Respondent Lawyers(s): Jennifer R. Cox, Lydia R. Zaidman Arbitrator(s): Maya Steinitz Hearing Site: Providence, RI
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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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23-02993 | 06/13/2024 | Claimant(s): Christopher Bice Claimant Lawyers(s): Garry T. Stevens Respondent(s): Sagepoint Financial. Respondent Lawyers(s): Jennifer R. Cox Arbitrator(s): Vaughn Norman Browne, Howard Alan Grinsberg, Jonathan Abrams Hearing Site: New York, NY
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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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23-01345 | 05/01/2024 | Claimant(s): Alexander Hackley Claimant Lawyers(s): Avinoam Rosenfeld Respondent(s): Woodbury Financial Services. Respondent Lawyers(s): Jennifer R. Cox Arbitrator(s): Martin M. Berliner, Leonard M. Goldstein, Adam Michael Porter Hearing Site: Denver, CO
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