| 19-02237 | 04/14/2021 | Claimant(s): Darwin Vinson, Lajane Vinson
Claimant Lawyers(s): Jonathan Kurta
Respondent(s): Money Concepts Capital Corp
Respondent Lawyers(s): Kathy M. Klock
Arbitrator(s): Gayle B. Carlson
Hearing Site: Jackson, MS
|  | Expungement |
| 18-04274 | 04/29/2020 | Claimant(s): Ronald Carlson
Claimant Lawyers(s): Ronald N. Carlson
Respondent(s): Wells Fargo Clearing Services, Prudential Annuities Distributors.
Respondent Lawyers(s): Kathy M. Klock
Arbitrator(s): Paul Weinberg, Joseph Benalt, Nanci Sondra Landy
Hearing Site: Boca Raton, FL
| | $0 |
| 18-01379 | 05/29/2019 | Claimant(s): Alma Miller, Rondel Miller
Claimant Lawyers(s): Vonne L. Karraker
Respondent(s): Ray Reese, Money Concepts Capital Corp
Respondent Lawyers(s): Kathy M. Klock
Arbitrator(s): Robert J. Scafuri, Julius Z. Frager, Lynn Hirschfeld Brahin
Hearing Site: St. Louis, MO
| | Expungement |
| 16-00870 | 12/18/2017 | Claimant(s): Sabine Parker
Claimant Lawyers(s): Jared A. Levy
Respondent(s): Craig Sutherland, Money Concepts Capital Corp
Respondent Lawyers(s): Kathy M. Klock
Arbitrator(s): Michael L. Fortney, Robert M Lustig, Karl Strohbehn
Hearing Site: Cleveland, OH
| | Expungement |
| 13-03675 | 03/31/2015 | Claimant(s): Richard Bergdahl, Richard G. Bergdahl IRA
Claimant Lawyers(s): Robert H. Rex
Respondent(s): Money Concepts Capital Corp
Respondent Lawyers(s): Kathy M. Klock
Arbitrator(s): Leon Fox, Debra J. Tucker, G. Marshall Abbey
Hearing Site: Chicago, IL
| | Expungement |
| 12-03901 | 03/10/2015 | Claimant(s): Sandra Harder
Claimant Lawyers(s): Erwin Cohn
Respondent(s): Benjamin Pahl, Fidelity Brokerage Services LLC, Money Concepts Capital Corp
Respondent Lawyers(s): Joel M. Everest, Kathy M. Klock
Arbitrator(s): Kenneth N. Adamson, Susanne J. Hollander, Harvey R. Herman
Hearing Site: Chicago, IL
| | Expungement |
| 11-02837 | 04/15/2014 | Claimant(s): Michele Jarrett, Sherri Jonas-Lazin, Sheila Jonas as TOD Beneficiary
Claimant Lawyers(s): Jahan K Manasseh
Respondent(s): Wells Fargo Advisors, Morgan Stanley
Respondent Lawyers(s): Kathy M. Klock, Travis R. Chapin
Arbitrator(s): Barth Satuloff, Mark I. Roth, Judith Kelner Chu
Hearing Site: Boca Raton, FL
| | Expungement |
| 12-02801 | 02/03/2014 | Claimant(s):
Claimant Lawyers(s):
Respondent(s): Gurudeo Persaud, Money Concepts Capital Corp.
Respondent Lawyers(s): Gurudeo Sukul Persaud, Kathy M. Klock
Arbitrator(s): Gayle B. Carlson, John Michael Reisert, Robert G. Bannon
Hearing Site: Orlando, FL
| | $491,784 |
| 12-02107 | 10/24/2013 | Claimant(s): Wayne Turner
Claimant Lawyers(s): Eric E. Ludin
Respondent(s): LPL Financial LLC, Sharon Fall, Uvest Financial Services Group.
Respondent Lawyers(s): Kathy M. Klock
Arbitrator(s): Paul E. Flora, Russell W. Merriman, Gayle B. Carlson
Hearing Site: Tampa, FL
| | Expungement |
| 12-02627 | 09/05/2013 | Claimant(s): David Linsinbigler, Penny Linsinbigler
Claimant Lawyers(s): Alterraon Phillips
Respondent(s): LPL Financial LLC, Michael Linsinbigler, UVEST Financial Services Group.
Respondent Lawyers(s): Kathy M. Klock, Michael Thomas Linsinbigler
Arbitrator(s): Richard W. Epstein
Hearing Site: Boca Raton, FL
| | $16,380 |
