| 22-02966 | 08/05/2024 | Claimant(s): Estate of John Roth Admin. Tatiana Roth
Claimant Lawyers(s): Scott L. Silver
Respondent(s): Dalmore Group LLC
Respondent Lawyers(s): Alan M. Wolper
Arbitrator(s): Christine R. Fitzgerald, Frank Sanclemente, John George Neylon
Hearing Site: Manchester, NH
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| 19-03523 | 11/02/2020 | Claimant(s): Joseph Roop
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Legg Mason Wood Walker, Wells Fargo Clearing Services, Kalos Capital., Banc of America Investment Services Inc.
Respondent Lawyers(s): Alan M. Wolper, Demian J. Betz, Gretchen Klebasko, Sarah K. Yates
Arbitrator(s): Richard H. Potter
Hearing Site: Charlotte, NC
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| 17-01330 | 05/17/2018 | Claimant(s): Vasileios Sfyris
Claimant Lawyers(s): Alan M. Wolper
Respondent(s): First Southern Securities.
Respondent Lawyers(s): John Holman
Arbitrator(s): Robert H. Putnam, Michael J. Stern, Shawn Barr
Hearing Site: Atlanta, GA
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| 17-01331 | 05/04/2018 | Claimant(s): William Hawk
Claimant Lawyers(s): Alan M. Wolper
Respondent(s): First Southern Securities.
Respondent Lawyers(s): John Holman
Arbitrator(s): Michael J. Stern, John F. Allgood, David Frank Walbert
Hearing Site: Atlanta, GA
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| 10-05247 | 06/02/2014 | Claimant(s): Thomas Campbell
Claimant Lawyers(s): Vincent Imbesi
Respondent(s): J.W. Cole Financial.
Respondent Lawyers(s): Alan M. Wolper
Arbitrator(s): Robert J. Scafuri, Stuart Sinai, Mauricio Kohn
Hearing Site: Detroit, MI
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| 11-02296 | 09/07/2012 | Claimant(s): Popular Securities.
Claimant Lawyers(s): Alan M. Wolper
Respondent(s): Francisco De Torres Highley
Respondent Lawyers(s): Harold D. Vincente-Colon
Arbitrator(s): Steven Gerard Goerke, Michael E. Pearson, Ivy Robin Ginsberg
Hearing Site: San Juan, PR
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| 11-03090 | 05/03/2012 | Claimant(s): Bull & Bear Brokerage Services., Bull & Bear Capital Advisors
Claimant Lawyers(s): Alan M. Wolper
Respondent(s): Robert Liggero
Respondent Lawyers(s): Nicholas V. Pulignano
Arbitrator(s): Michael R. Alford, Pamela Jeanne Rush, Mitchel Weiss
Hearing Site: Jacksonville, FL
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| 10-01803 | 06/08/2011 | Claimant(s): Scott Olson
Claimant Lawyers(s): Alan M. Wolper
Respondent(s): World Equity Group.
Respondent Lawyers(s): Albert S. Watkins
Arbitrator(s): John N. Chapin, David J. Langseth, Jeffrey S. Fannon
Hearing Site: Chicago, IL
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| 08-02687 | 10/22/2009 | Claimant(s): Allegiant Securities L.L.C.
Claimant Lawyers(s): Alan M. Wolper
Respondent(s): Ira Weinstein
Respondent Lawyers(s): Brian D. Buckstein
Arbitrator(s): Arthur J. Leibell, Craig Edward Stein, Andrew David Kahng
Hearing Site: Miami, FL
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