| 21-01391 | 12/13/2022 | Claimant(s): Christine Bourdelais
Claimant Lawyers(s): Christine Callie Bourdelais
Respondent(s): NYLife Securities LLC, NY Life Insurance Company of Arizona, New York Life Insurance & Annuity Corp., New York Life Insurance Company
Respondent Lawyers(s): Christopher J. Murdoch
Arbitrator(s): Michael J. Ahlstrom, Lawrence M. Barnes, Catherine Esther Bocskor
Hearing Site: Norfolk, VA
| | |
| 22-00284 | 12/13/2022 | Claimant(s): Gerhard Heuer
Claimant Lawyers(s): Avinoam Rosenfeld
Respondent(s): Independent Financial Group., Thrivent Investment Management Inc.
Respondent Lawyers(s): Sarah J. Kreisman, Shannon M. Wheaton
Arbitrator(s): Joseph L. Mangan, David William Hickman, Eric A LaBrant
Hearing Site: Portland, OR
| | |
| 22-00796 | 12/13/2022 | Claimant(s): Daniel Muskat
Claimant Lawyers(s): Stephan Louviere
Respondent(s): NYLife Securities LLC, MML Investors Services
Respondent Lawyers(s): Christopher J. Murdoch, Julie E. Ravis
Arbitrator(s): Edward W. Morris
Hearing Site: Manchester, NH
| | |
| 22-01643 | 12/13/2022 | Claimant(s): Gerald Casey
Claimant Lawyers(s): Gerald Joseph Casey
Respondent(s): Academy Securities.
Respondent Lawyers(s): Michael Boyd
Arbitrator(s): Jeanne M. Keefe
Hearing Site: New York, NY
| | |
| 22-01045 | 12/12/2022 | Claimant(s): Robert Sorensen
Claimant Lawyers(s): Brian Luther
Respondent(s): Allstate Financial Services
Respondent Lawyers(s): Jennifer E. Novoselsky
Arbitrator(s): William Michael Samsel
Hearing Site: Reno, NV
| | |
| 22-01542 | 12/12/2022 | Claimant(s): Yusuf Hai
Claimant Lawyers(s): Yusuf Abdul Hai
Respondent(s): Kenneth Chaput, Osman Minkara, CIG Capital Advisors Inc., CIG Securities
Respondent Lawyers(s): James V. Garvey
Arbitrator(s): Gail K. Barski-McCracken
Hearing Site: Detroit, MI
| | |
| 20-02029 | 12/09/2022 | Claimant(s): Shannon Zoller
Claimant Lawyers(s): Linda D Friedman
Respondent(s): Daniel Veatch, Jonathan Jameson, Reidan Cruz, Robert Hofeditz, GCA Advisors
Respondent Lawyers(s): Diane M. Doolittle
Arbitrator(s): David H. S. Commins, Alden Sharp Adkins, Thomas Arthur Cohen
Hearing Site: San Francisco, CA
| | |
| 22-00827 | 12/09/2022 | Claimant(s): Sydney Walker
Claimant Lawyers(s): Brian Luther
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Valerie Holder
Arbitrator(s): Erik R. Siering
Hearing Site: Los Angeles, CA
| | |
| 22-01069 | 12/09/2022 | Claimant(s): Karl Schwartz
Claimant Lawyers(s): Jonathan M. Sterling
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): John Murphy
Arbitrator(s): Tracy L. Allen
Hearing Site: Detroit, MI
| | |
| 22-02294 | 12/09/2022 | Claimant(s): John Tsoukalas
Claimant Lawyers(s): Jennifer Burke
Respondent(s): Hennion & Walsh.
Respondent Lawyers(s): Jennifer Burke
Arbitrator(s): Linda J. Baer
Hearing Site: Jersey City, NJ
| | |
