| 23-02851 | 09/30/2024 | Claimant(s): Ryan Malloch
Claimant Lawyers(s): Peter Lindholm
Respondent(s): Cetera Advisors LLC
Respondent Lawyers(s): Steven E. Mellen
Arbitrator(s): Tracy L. Allen
Hearing Site: Detroit, MI
| | |
| 23-01451 | 08/13/2024 | Claimant(s): Cody Taymore
Claimant Lawyers(s): Christopher H. Tovar
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Tracy L. Gerber
Arbitrator(s): Robert J. Scafuri, Stephen D. Arkwright, Lynn Hirschfeld Brahin
Hearing Site: Detroit, MI
| | |
| 23-02614 | 07/19/2024 | Claimant(s): Spencer Warn
Claimant Lawyers(s): Colin D. Gerish
Respondent(s): Cetera Investment Services.
Respondent Lawyers(s): Steven E. Mellen
Arbitrator(s): Carl E. Ver Beek
Hearing Site: Detroit, MI
| | |
| 23-03248 | 07/09/2024 | Claimant(s): Charles Gottschalk, IRA
Claimant Lawyers(s): Lysa L. Postula-Stein
Respondent(s): Sigma Financial Corporation
Respondent Lawyers(s): Jonathan M. Sterling
Arbitrator(s): Martin Brosnan
Hearing Site: Detroit, MI
|  | Dismissed by Rule 12206 |
| 23-02955 | 06/25/2024 | Claimant(s): Kaled Khaznehkatbi
Claimant Lawyers(s): Eric A. Michaels
Respondent(s): OSAIC Wealth
Respondent Lawyers(s): Steven E. Mellen
Arbitrator(s): Patrick R. Sughroue
Hearing Site: Detroit, MI
| | |
| 23-01712 | 05/28/2024 | Claimant(s): Corey Haber
Claimant Lawyers(s): Corey J. Haber
Respondent(s): Morgan Stanley, Rj Malcampo, Rosita Kaufman
Respondent Lawyers(s): Randi Perry Spallina
Arbitrator(s): Robert J. Scafuri, Carl E. Ver Beek, Mark Gregory Brackon
Hearing Site: Detroit, MI
| | Expungement |
| 22-00430 | 05/13/2024 | Claimant(s): Mark Carter
Claimant Lawyers(s): Christopher H. Tovar
Respondent(s): Dennis Poulos, Eric Deems, Gerard Rocchi, Mark Madgett, NYLife Securities LLC, Vincent Spaniolo
Respondent Lawyers(s): Jeffrey A. Sturgeon
Arbitrator(s): Robert L. Altizer, Sandra Franklin, Mark Leslie Small
Hearing Site: Detroit, MI
| | |
| 23-01262 | 05/07/2024 | Claimant(s): Robert Bradley
Claimant Lawyers(s): Daniel W. Rucker
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Andrew Joyce
Arbitrator(s): Michael John Falvo
Hearing Site: Detroit, MI
| | |
| 23-03171 | 03/19/2024 | Claimant(s): Nussel Living Trust
Claimant Lawyers(s): Jay E. Nussel
Respondent(s): Edward Jones, Lori Cannon
Respondent Lawyers(s): C. Darcy Jalandoni
Arbitrator(s):
Hearing Site: Detroit, MI
| | $213 |
| 21-01511 | 03/08/2024 | Claimant(s): Concorde Investment Services
Claimant Lawyers(s): James S. Rollins
Respondent(s): Lori Kamen, Aurora Securities
Respondent Lawyers(s): Paul Machesky
Arbitrator(s): Jeffry M. Bauer, Ann Wilhelmina Kuppe, Suzanne L. Ulicny
Hearing Site: Detroit, MI
| | |
