| 17-03272 | 12/19/2018 | Claimant(s): Martha Jocis
Claimant Lawyers(s): Peter C. Rageas
Respondent(s): Capital City Securities
Respondent Lawyers(s): Gary S. Kessler
Arbitrator(s): Raymond J. Sterling, Stephen D Kursman, Cyrus K. Motlagh
Hearing Site: Detroit, MI
|  | Dismissed by Rule 12206 |
| 16-02213 | 10/25/2017 | Claimant(s): Cecil & Mary Ross Revocable Trust
Claimant Lawyers(s): Gail E. Boliver
Respondent(s): Ceros Financial Services.
Respondent Lawyers(s): Gary S. Kessler
Arbitrator(s):
Hearing Site: Des Moines, IA
| | $0 |
| 14-02788 | 09/08/2017 | Claimant(s): Liphard D'Souza, Sabrina D'Souza
Claimant Lawyers(s): Chad M. Neuens
Respondent(s): First Independent Financial Services Inc
Respondent Lawyers(s): Gary S. Kessler
Arbitrator(s): Kelley L. Cornelius, Philip I. McConnell, Van R. Oliver
Hearing Site: Oklahoma City, OK
| | $94,852 |
| 12-01470 | 06/21/2013 | Claimant(s): Michael Saunders, Yvonne Saunders
Claimant Lawyers(s): Leonard Meyer
Respondent(s): Adam Suhr, Wells Fargo Investments, John Wingate, Ross Friend, Strategic Financial Concepts
Respondent Lawyers(s): Gary S. Kessler, R. Rene Escobedo, Robyn Silvermintz
Arbitrator(s): William Edward Buck, Deirdre Renee Fuller, Allan R. Lazor
Hearing Site: Houston, TX
| | $75,300 |
| 08-03387 | 06/15/2012 | Claimant(s): S. Mehta, Sandeep Mehta, Neri Partners, Ltd, Jai Ganesh Trust
Claimant Lawyers(s): Jason A. Copling
Respondent(s): Dilip Shah, Pankaj Udeshi
Respondent Lawyers(s): Gary S. Kessler, John J. Gitlin
Arbitrator(s): Philip I. McConnell, Larry N. Quinn, Catherine M. Norman
Hearing Site: Dallas, TX
| | $66,500 |
| 09-01735 | 11/16/2010 | Claimant(s): Jacqueline Frost, Est. of John M. Frost by Richard Scheyer
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Michael Kresh, H.D. Vest Investment Services. Inc., Royal Alliance Associates.
Respondent Lawyers(s): Gary S. Kessler, Jonathan C. Thau
Arbitrator(s): Philip M. Mandel, Joel P. Mellis, Peter P. Skomorowsky
Hearing Site: New York, NY
| | $0 |
| 04-00772 | 04/16/2009 | Claimant(s): Isabelita Nopuente, OB1 Ltd
Claimant Lawyers(s): James Jay Seltzer
Respondent(s): Cornelius Choy, H.D. Vest Investment Services
Respondent Lawyers(s): Gary S. Kessler, Robert T. Sullwold
Arbitrator(s): Thomas H. O'Connor, Peter H. Daly, Joseph A. Lasky
Hearing Site: San Francisco, CA
| | $0 |
| 07-01888 | 03/31/2008 | Claimant(s): Roger Moore
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): H.D. Vest Investment Services
Respondent Lawyers(s): Gary S. Kessler
Arbitrator(s): Gerald D. Wygant, George H. Speciale, William J. Chambers
Hearing Site: Boise, ID
| | $0 |
