| 22-00516 | 10/17/2022 | Claimant(s): David Thompson
Claimant Lawyers(s): James P. Galvin
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): John P. Cullem, Stuart Sinai, Philip L. Manczak
Hearing Site: Tampa, FL
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| 22-00798 | 10/17/2022 | Claimant(s): Kurt Jackson
Claimant Lawyers(s): Richard A. D'Amura
Respondent(s): Kestra Investment Services
Respondent Lawyers(s): Michael Pedlow
Arbitrator(s): Milton N. Gross
Hearing Site: Los Angeles, CA
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| 21-01984 | 10/14/2022 | Claimant(s): Alice Sundberg
Claimant Lawyers(s): W. D. Masterson
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Christopher S. Koller
Arbitrator(s): John Kenneth Popham, James Ellis, John Martin Lynch
Hearing Site: Dallas, TX
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| 22-00144 | 10/14/2022 | Claimant(s): Elaine Roumillat, Holly Carroccio
Claimant Lawyers(s): Craig M. Warner
Respondent(s): MML Investors Services
Respondent Lawyers(s): William P. Thornton
Arbitrator(s): Andrea U. Calve, Jeffrey Richard Chiappetta, Scott F Stains
Hearing Site: Dallas, TX
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| 22-00356 | 10/14/2022 | Claimant(s): Adrian Lorenzo, David Burg
Claimant Lawyers(s): Stephan Louviere
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Amanda Parisi
Arbitrator(s): Edward R. Niederriter
Hearing Site: Boca Raton, FL
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| 22-00398 | 10/14/2022 | Claimant(s): Michael Valiente
Claimant Lawyers(s): Zachary Morse
Respondent(s): World Group Securities.
Respondent Lawyers(s): Susan D. Duff
Arbitrator(s): Joyce L. Hurley
Hearing Site: Los Angeles, CA
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| 22-00543 | 10/14/2022 | Claimant(s): Joseph Smith
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Kelsey Vasko
Arbitrator(s): Jim Geiger
Hearing Site: Louisville, KY
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| 22-01301 | 10/14/2022 | Claimant(s): Paul Carnahan
Claimant Lawyers(s): Paul Michael Carnahan
Respondent(s): Securian Financial Services.
Respondent Lawyers(s): Jared K. Levy
Arbitrator(s): Michael J. Meeusen
Hearing Site: Detroit, MI
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| 21-01661 | 10/13/2022 | Claimant(s): Joseph Pietrykowski
Claimant Lawyers(s): Todd A. Zuckerbrod
Respondent(s): Santander Securities LLC
Respondent Lawyers(s): Stuart D. Roberts
Arbitrator(s): Richard W. Cutler, Linda Ashley, Jerome Francis Cangialosi
Hearing Site: New York, NY
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| 22-00708 | 10/12/2022 | Claimant(s): Travis Barnes
Claimant Lawyers(s): N. Nancy Ghabai
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Rochelle Mayfield
Arbitrator(s): Richard S. Zaifert
Hearing Site: Jacksonville, FL
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