| 23-01315 | 03/15/2024 | Claimant(s): Michael Sievert
Claimant Lawyers(s): Peter Lindholm
Respondent(s): Arkadios Capital, Triad Advisors LLC
Respondent Lawyers(s): Chet C. Payne, Gregory M. Curley
Arbitrator(s): Leslie L. Cooney
Hearing Site: Jacksonville, FL
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| 23-02653 | 03/15/2024 | Claimant(s): Douglas Schiffmiller
Claimant Lawyers(s): Robert Moses
Respondent(s): American Portfolios Financial Srvs.
Respondent Lawyers(s): Craig Vollono
Arbitrator(s): Linda J. Baer
Hearing Site: New York, NY
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| 23-01455 | 03/15/2024 | Claimant(s): Michael Steffens
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Park Avenue Securities LLC
Respondent Lawyers(s): Shabbir Chaudhury
Arbitrator(s): Gregory G. Gocek
Hearing Site: Milwaukee, WI
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| 23-02529 | 03/14/2024 | Claimant(s): Peter Blok
Claimant Lawyers(s): Benjamin J. Biard
Respondent(s): Grove Point Investments
Respondent Lawyers(s): Matt Winterhalter
Arbitrator(s): Louis P. Wagman, Leo J. Karwejna, Thomas R Nathan
Hearing Site: Philadelphia, PA
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| 22-02275 | 03/14/2024 | Claimant(s): David Gershoni
Claimant Lawyers(s): David John Freniere
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Julie Fleming-Wolfe
Arbitrator(s):
Hearing Site: Hartford, CT
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| 23-01474 | 03/13/2024 | Claimant(s): Douglas Greenberg
Claimant Lawyers(s): William Bean
Respondent(s): Morgan Stanley, Morgan Stanley DW Inc.
Respondent Lawyers(s): Christine A. Kendrick
Arbitrator(s): Katherine Hendricks
Hearing Site: Portland, OR
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| 23-02195 | 03/13/2024 | Claimant(s): Sarah Dodd
Claimant Lawyers(s): Sarah Brooke Dodd
Respondent(s): Bobby Brown, Raymond James Financial Services.
Respondent Lawyers(s): Bruce W. Barnes
Arbitrator(s): Maryanne M. Esser, Janet M. Thompson, Heath O. Lauseng
Hearing Site: Little Rock, AR
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| 23-01458 | 03/13/2024 | Claimant(s): Joseph Andreoli
Claimant Lawyers(s): Chelsea Bauer
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Deirdre Wolff
Arbitrator(s): Morton S. Bunis
Hearing Site: Jersey City, NJ
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| 23-02867 | 03/13/2024 | Claimant(s): Richard Stewart
Claimant Lawyers(s): Stephan Louviere
Respondent(s): Equitable Advisors
Respondent Lawyers(s): Karen H. Chapman
Arbitrator(s): Stephany Adriene Watson
Hearing Site: Seattle, WA
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| 23-01243 | 03/13/2024 | Claimant(s): Andrew Ruud
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): U.S. Bancorp Investments.
Respondent Lawyers(s): Briana Al Taqatqa
Arbitrator(s): Michael J. Ahlstrom
Hearing Site: Nashville, TN
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