| 23-03601 | 10/31/2024 | Claimant(s): Richard Treat
Claimant Lawyers(s): Matthew N. Thibaut
Respondent(s): Woodbury Financial Services.
Respondent Lawyers(s): Justin Sacca
Arbitrator(s): Leonard Arthur Nelson
Hearing Site: Denver, CO
|  | $0 |
| 22-00526 | 03/13/2024 | Claimant(s): Patrick Troy, Patrick J. Troy Living Trust
Claimant Lawyers(s): John J. Muldoon
Respondent(s): Brad Goldberg, Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Leonard Arthur Nelson, Yana Karnaukhov, Takia D Washington
Hearing Site: Chicago, IL
| | $1 |
| 22-02902 | 09/06/2023 | Claimant(s): Sofi Securities LLC
Claimant Lawyers(s): Michele R. Underwood
Respondent(s): Timothy Worley
Respondent Lawyers(s): Timothy Worley
Arbitrator(s): Leonard Arthur Nelson
Hearing Site: Denver, CO
| | |
| 22-01275 | 08/07/2023 | Claimant(s): Ray Nuss
Claimant Lawyers(s): Ray Nuss
Respondent(s): Edward Jones
Respondent Lawyers(s): Victoria H. Buter
Arbitrator(s): Rhonda S. McCarthy, Leonard Arthur Nelson, Troy J. Bird
Hearing Site: Omaha, NE
| | Dismissed by Rule 12212 |
| 19-01461 | 05/10/2022 | Claimant(s): Leslie Miller
Claimant Lawyers(s): Matthew H. Hoy
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Noah D. Sorkin
Arbitrator(s): Leonard Arthur Nelson, Steven Joseph Streen, Robert S. Baran
Hearing Site: Kansas City, MO
| | $1 |
| 21-00021 | 01/06/2022 | Claimant(s): Dierdre Hallick, Mark Hallick
Claimant Lawyers(s): Jason J. Kane
Respondent(s): Securities America., Investacorp Inc., Stephen Lawler, First Allied Securities.
Respondent Lawyers(s): Justin Sacca, Sean T. Needham
Arbitrator(s): Leonard Arthur Nelson, Jonathan B. Gilbert, Stuart W. Smith
Hearing Site: Chicago, IL
| | Dismissed by Rule 12206 |
| 20-03126 | 11/18/2021 | Claimant(s): James Freund, IRA
Claimant Lawyers(s): Michael Hill
Respondent(s): Ameriprise Financial Services
Respondent Lawyers(s): Niels P. Murphy
Arbitrator(s): Leonard Arthur Nelson, Sally J. Wiggins, Maxwell Charles Livingston
Hearing Site: Milwaukee, WI
| | $0 |
| 20-03620 | 09/14/2021 | Claimant(s): Marketing Concepts Group 401(K) & Profit
Claimant Lawyers(s): Donald A. Murday
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Heidi E. VonderHeide
Arbitrator(s): Leonard Arthur Nelson
Hearing Site: Chicago, IL
| | $8,130 |
| 20-03734 | 05/20/2021 | Claimant(s): Craig McFadden, Heidi Faber-McFadden, beneficiary, IRA FBO Craig W. McFadden
Claimant Lawyers(s): Marnie C. Lambert
Respondent(s): Voya Financial Advisors.
Respondent Lawyers(s): Alexander A. Truitt
Arbitrator(s): Leonard Arthur Nelson
Hearing Site: Milwaukee, WI
| | $0 |
| 18-03528 | 08/21/2020 | Claimant(s): James Harting Trust
Claimant Lawyers(s): James R. Harting
Respondent(s): Timothy Rice, First Allied Securities., Lakeside Wealth Management Group
Respondent Lawyers(s): Derek C. Anderson
Arbitrator(s): Charles Orlove, Leonard Arthur Nelson, Theresa A Gillerlain
Hearing Site: Chicago, IL
| | $0 |
