| 22-01026 | 09/18/2024 | Claimant(s): Craig Severin
Claimant Lawyers(s): Craig Alan Severin
Respondent(s): Wesley Garner
Respondent Lawyers(s): Donna K. McElroy
Arbitrator(s): Daniel J. Pagnano, Brian James Tagtmeier, Francis Joseph Bourgeois
Hearing Site: Houston, TX
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| 24-00115 | 09/18/2024 | Claimant(s): Sandra Rose
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Pruco Securities.
Respondent Lawyers(s): Caitlin P. Cascino
Arbitrator(s): Peter M Cosel
Hearing Site: Hartford, CT
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| 24-00654 | 09/17/2024 | Claimant(s): Clinton Wilson
Claimant Lawyers(s): Nathan Lamb
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): Laura Ruiz Rivera
Arbitrator(s): M W Gear, Ellen J. Abrams, Michael John Florio
Hearing Site: Boca Raton, FL
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| 23-00556 | 09/17/2024 | Claimant(s): Aegis Capital Corp.
Claimant Lawyers(s): Michael Gilmore
Respondent(s): Peter Hirsh
Respondent Lawyers(s): Bernard Allen
Arbitrator(s): Jill Pilgrim, Camille S. Cooper, Michael Peter Graff
Hearing Site: New York, NY
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| 23-02749 | 09/17/2024 | Claimant(s): James Simmons
Claimant Lawyers(s): Harris Freedman
Respondent(s): FSC Securities Corporation, Brookstreet Securities Corporation, National Planning Corporation
Respondent Lawyers(s): Eric A. Michaels, Jennifer R. Cox, Julie Mains
Arbitrator(s): Michael Harrison
Hearing Site: Los Angeles, CA
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| 24-00176 | 09/13/2024 | Claimant(s): Securities America.
Claimant Lawyers(s): Gregory M. Curley
Respondent(s): Jeremy Belfiore
Respondent Lawyers(s): Clinton W. Marrs
Arbitrator(s): Richard Marc Weinroth, Glenn Allen Baker, Patrick Irvine
Hearing Site: Phoenix, AZ
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| 24-01274 | 09/13/2024 | Claimant(s): Stifel, Nicolaus & Co..
Claimant Lawyers(s): Alan S. Brodherson
Respondent(s): Joseph Monaco
Respondent Lawyers(s): Joseph Anthony Monaco
Arbitrator(s): Bryan Lane Berson
Hearing Site: New York, NY
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| 23-02490 | 09/13/2024 | Claimant(s): Jeffrey McDonald
Claimant Lawyers(s): Craig A. Riha
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam M. Kauff
Arbitrator(s): Jerrold E. Slutzky, Kenneth R. Starr, Carolyn E. Moore
Hearing Site: Tampa, FL
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| 23-02893 | 09/13/2024 | Claimant(s): Howard Hsieh
Claimant Lawyers(s): Christina Vourakis
Respondent(s): Cetera Investment Services.
Respondent Lawyers(s): Jeremy Carr
Arbitrator(s): Robert D. Sussin
Hearing Site: Los Angeles, CA
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| 23-03347 | 09/12/2024 | Claimant(s): Natasha Jahn
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): CUNA Brokerage Services.
Respondent Lawyers(s): Sandra D. Grannum
Arbitrator(s): Philip Alan Johnson
Hearing Site: Seattle, WA
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