| 21-02610 | 05/30/2023 | Claimant(s): Luigj Perkaj
Claimant Lawyers(s): Tom De Bow
Respondent(s): First Allied Securities.
Respondent Lawyers(s): Samuel P. Mauch
Arbitrator(s): Martin Brosnan, Richard Edward Rassel, Mark Gregory Brackon
Hearing Site: Detroit, MI
|  | Dismissed with Rule 12206 |
| 21-00524 | 03/24/2023 | Claimant(s): Tyron Smith
Claimant Lawyers(s): Susan J. Foster
Respondent(s): William Saplicki, First Allied Advisory Services., First Allied Securities.
Respondent Lawyers(s): John P. Kincade
Arbitrator(s): Frances Johnson Wright, Joseph A. Vicario, Ye Whei Peter Chen
Hearing Site: Dallas, TX
| | Expungement |
| 22-00358 | 02/14/2023 | Claimant(s): Michael Garrette
Claimant Lawyers(s): Nicholas J. Guiliano
Respondent(s): First Allied Securities.
Respondent Lawyers(s): Benjamin J. Biard
Arbitrator(s): Maurice M. Feller, Mimi B. Osiason, Kathy A. Tatone
Hearing Site: Tampa, FL
| | Dismissed by Rule 12206 |
| 20-00452 | 12/02/2022 | Claimant(s): Barbara Moger
Claimant Lawyers(s): Christopher J. Albanese
Respondent(s): Christopher Braccia, Stephen Oliver, First Allied Securities.
Respondent Lawyers(s): Garry T. Stevens
Arbitrator(s): Diane Ciccone, Carol H. Gold, Christin Kim
Hearing Site: Philadelphia, PA
| | Expungement |
| 21-02646 | 11/22/2022 | Claimant(s): Carol Monte
Claimant Lawyers(s): Kalju Nekvasil
Respondent(s): First Allied Securities.
Respondent Lawyers(s): Elizabeth Lowery
Arbitrator(s): Jonathan H. Krotinger, Paul E. Dahlman, Jon Richard Catten
Hearing Site: Boise, ID
| | Expungement |
| 21-01512 | 07/01/2022 | Claimant(s): Mitchell Dehler, Sadhna Dehler, Mitchell Dehler SEP IRA, Sadhna Dehler Roth IRA
Claimant Lawyers(s): Adam J. Gana
Respondent(s): First Allied Securities.
Respondent Lawyers(s): Elizabeth Lowery
Arbitrator(s): Susan B. Gans-Smith, Gerald Anthony Pokorski, Aaron Nathan Shechet
Hearing Site: Los Angeles, CA
| | Expungement |
| 18-01349 | 03/11/2022 | Claimant(s): Ivan Mailhot, Nancy Mailhot, Ivan Mailhot IRA, Nancy Mailhot IRA
Claimant Lawyers(s): Gary Menzer
Respondent(s): First Allied Securities.
Respondent Lawyers(s): Edwin A. Barkel
Arbitrator(s): Harold J. Merkow, Edwin J. Buckley, Ronald Dean Mayes
Hearing Site: Phoenix, AZ
| | $2,662,420 |
| 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 |
| 20-00193 | 06/14/2021 | Claimant(s): Gerellen Joneson
Claimant Lawyers(s): James N Thomaidis
Respondent(s): Mark Haenny, Matthew Hickey, First Allied Securities.
Respondent Lawyers(s): Derek C. Anderson
Arbitrator(s): Steven Meyrich, Steven M. Feder, Mary C. Davis
Hearing Site: Denver, CO
| | Expungement |
| 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 |
