| 19-03217 | 08/13/2024 | Claimant(s): Narinder Gupta, Suman Gupta
Claimant Lawyers(s): Narinder Gupta, Suman D. Gupta
Respondent(s): Ameriprise Financial Services, Michael Hannon
Respondent Lawyers(s): Edward A. Walton
Arbitrator(s): Lynne R. Stern, Karen Roberts Washington, Genevieve Anderson
Hearing Site: New Orleans, LA
|  | Expungement |
| 22-01699 | 06/10/2024 | Claimant(s): The Estate of Margaret Mahaney-Smith
Claimant Lawyers(s): Lars Soreide
Respondent(s): LPL Financial LLC, Frederick Arbusto
Respondent Lawyers(s): John W. Joyce
Arbitrator(s): Jo-Marie Lisa, Lynne M. Gomez, Imre Stephen Szalai
Hearing Site: New Orleans, LA
| | Expungement |
| 23-01665 | 04/25/2024 | Claimant(s): Bradley Grate, David Hamilton, Gary Edwards, Jeffrey Worley, Robert Ertner
Claimant Lawyers(s): Brandon Dei
Respondent(s): Shawn Kinsella, Axos Clearing LLC
Respondent Lawyers(s): Carl S. Burkhalter
Arbitrator(s): Simeon B. Reimonenq
Hearing Site: New Orleans, LA
| | $0 |
| 20-04216 | 01/05/2024 | Claimant(s): Kent Bonvillain, Whitney Guidry
Claimant Lawyers(s): Kevin Conway
Respondent(s): Raymond James & Associates.
Respondent Lawyers(s): George C. Freeman
Arbitrator(s): Maryanne M. Esser, Chris W. Surprenant, William John Sommers
Hearing Site: New Orleans, LA
| | $15,000 |
| 22-01471 | 11/09/2023 | Claimant(s): Jessie Wheat
Claimant Lawyers(s): Nicholas H. Berg
Respondent(s): LPL Financial LLC, William Poulter
Respondent Lawyers(s): Matthew Bohenek
Arbitrator(s): Jo-Marie Lisa, Brian James Tagtmeier, Nadine Michele Ramsey
Hearing Site: New Orleans, LA
| | Expungement |
| 22-02272 | 10/11/2023 | Claimant(s): Patrick Hanratty
Claimant Lawyers(s): Kristian Kraszewski
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Jeffery D. Rodgers, Jr.
Arbitrator(s): Mark A. Myers
Hearing Site: New Orleans, LA
| | Expungement |
| 20-02616 | 05/10/2023 | Claimant(s): Estate of Alvin Louis Diecedue, Sr.
Claimant Lawyers(s): Sharon Starkey Whitlow
Respondent(s): Morgan Stanley, Sean Spratt
Respondent Lawyers(s): Christopher M. Sacco
Arbitrator(s): Daniel J. Pagnano, Stephen Edgar Eisenbraun, Franklin David Beahm
Hearing Site: New Orleans, LA
| | $0 |
| 21-02697 | 04/04/2023 | Claimant(s): Denny Gamble
Claimant Lawyers(s): Grace A. Van Hancock
Respondent(s): Network 1 Financial Securities Inc.
Respondent Lawyers(s): Craig A. Riha
Arbitrator(s): Allan R. Lazor, Chris W. Surprenant, Mary Audiffred
Hearing Site: New Orleans, LA
| | Expungement |
| 21-02076 | 10/14/2022 | Claimant(s): Patti Plunkett, individually, The Estate of John E. Plunkett, IRA Account of John E. Plunkett, John E. Plunkett & Maureen Y. Plunkett
Claimant Lawyers(s): Kalju Nekvasil
Respondent(s): Money Concepts Capital Corp
Respondent Lawyers(s): Kathy M. Klock
Arbitrator(s): Onnig Hatchig Dombalagian, Ralph Hamilton Schofield, Valerie Wilkins Blunt
Hearing Site: New Orleans, LA
| | Expungement |
| 22-00836 | 09/28/2022 | Claimant(s): Aspiration Financial LLC
Claimant Lawyers(s): Andrew J. Melnick
Respondent(s): Jaylen Eugene
Respondent Lawyers(s): Jaylen Eugene
Arbitrator(s): Robert H. Putnam
Hearing Site: New Orleans, LA
| | $0 |
