| 18-00329 | 08/06/2019 | Claimant(s): Branda Allen, David Meske, John Riley, Joshua Allen, Philip Susi, Robert Mitchell
Claimant Lawyers(s): Dennis J. Concilla
Respondent(s): Securities America.
Respondent Lawyers(s): Denis C. Dice
Arbitrator(s): Gregory Hunter Mathews, Sarah R. Cole, Randolph Carson Wiseman
Hearing Site: Columbus, OH
| | |
| 18-04318 | 08/06/2019 | Claimant(s): Mark Kruman
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Pruco Securities.
Respondent Lawyers(s): Alan S. Brodherson
Arbitrator(s): John F. Burns
Hearing Site: Philadelphia, PA
| | |
| 19-00091 | 08/06/2019 | Claimant(s): Timothy Jirak
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Barry Goldman
Hearing Site: Minneapolis, MN
| | |
| 18-02120 | 08/05/2019 | Claimant(s): Isidro Miramontes
Claimant Lawyers(s): David Harrison
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Timothy L. Moore
Arbitrator(s): Robert D. Sussin
Hearing Site: Los Angeles, CA
| | |
| 18-03328 | 08/05/2019 | Claimant(s): Darren Golde
Claimant Lawyers(s): Joshua B. Kons
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Michael S. Jordan
Hearing Site: Chicago, IL
| | |
| 18-03422 | 08/05/2019 | Claimant(s): Brian Parker
Claimant Lawyers(s): Tosh D Grebenik
Respondent(s): United Planners' Financial Services Of A
Respondent Lawyers(s): David B. Hauer
Arbitrator(s): Nancy G. Harris
Hearing Site: Los Angeles, CA
| | |
| 18-03577 | 08/05/2019 | Claimant(s): Robert Cannella
Claimant Lawyers(s): John D. Stewart
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Patricia E. Cowart
Arbitrator(s): Robert G. Geeseman
Hearing Site: Boca Raton, FL
| | |
| 18-04142 | 08/05/2019 | Claimant(s): Daniel Lauletta
Claimant Lawyers(s): Michael Charlillo
Respondent(s): Ameriprise Financial Services., Cetera Advisor Networks LLC, Walnut Street Securities.
Respondent Lawyers(s): Howard M. Klausmeier, Joseph Simms
Arbitrator(s): Michael L. Fortney
Hearing Site: Cleveland, OH
| | |
| 18-04220 | 08/05/2019 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Jessica Klein
Respondent(s): John Driscoll
Respondent Lawyers(s): John T Driscoll
Arbitrator(s): Philip J. Glick
Hearing Site: Denver, CO
| | |
| 16-03252 | 08/02/2019 | Claimant(s): Joseph Ziomek, Laguna Financial Group.
Claimant Lawyers(s): Robert J. Girard
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Robyn C. Crowther
Arbitrator(s): Brent J. Rosenbaum, Adam Michael Porter, Stephen Gary Holmes
Hearing Site: Los Angeles, CA
| | |
