| 24-00692 | 11/27/2024 | Claimant(s): Marie Mangin
Claimant Lawyers(s): John Mangin
Respondent(s): OneAmerica Securities.
Respondent Lawyers(s): Kathryn Roe Eldridge
Arbitrator(s): Joyce A. Mitchell, Nalini Iyer, Joel Miller
Hearing Site: Washington, DC
|  | Dismissed by Rule 12206 |
| 22-01977 | 09/04/2024 | Claimant(s): Ravdeep Bhasin
Claimant Lawyers(s): Ravdeep Singh Bhasin
Respondent(s): Principal Securities.
Respondent Lawyers(s): Kathryn Roe Eldridge
Arbitrator(s): John J. Fitzpatrick, Carol Ann Jensen, D. Peter Gleichenhaus
Hearing Site: San Francisco, CA
| | |
| 22-02737 | 06/06/2024 | Claimant(s): Rosenau Family Research Foundation
Claimant Lawyers(s): Donald R. McNeil
Respondent(s): Principal Securities.
Respondent Lawyers(s): Kathryn Roe Eldridge
Arbitrator(s): Jeffrey W. Jacobs, Leo G. Stern, Joseph Darwin Kenyon
Hearing Site: Minneapolis, MN
| | $7,342,000 |
| 23-01477 | 05/09/2024 | Claimant(s): Joseph Swanson
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Principal Securities.
Respondent Lawyers(s): Kathryn Roe Eldridge
Arbitrator(s): Phyllis Karasov
Hearing Site: Minneapolis, MN
| | |
| 23-01849 | 04/18/2024 | Claimant(s): Brian Hagen
Claimant Lawyers(s): James P. Galvin
Respondent(s): Concourse Financial Group Securities
Respondent Lawyers(s): Kathryn Roe Eldridge
Arbitrator(s): Michael S. Yauch
Hearing Site: Houston, TX
| | |
| 23-01017 | 11/29/2023 | Claimant(s): Deanne Schlarbaum
Claimant Lawyers(s): Darwin Bunger
Respondent(s): Principal Securities.
Respondent Lawyers(s): Kathryn Roe Eldridge
Arbitrator(s): Mark A. Frankel
Hearing Site: Des Moines, IA
| | $0 |
| 22-02900 | 10/12/2023 | Claimant(s): Richard Ehrlich
Claimant Lawyers(s): Harris Freedman
Respondent(s): Park Avenue Securities LLC, Securian Financial Services.
Respondent Lawyers(s): Kathryn Roe Eldridge, Lisa Stopfer
Arbitrator(s): Martin A. Feigenbaum
Hearing Site: Boca Raton, FL
| | |
| 22-01148 | 06/20/2023 | Claimant(s): David Wilson, Donna Wilson
Claimant Lawyers(s): Scott L Silver
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Kathryn Roe Eldridge
Arbitrator(s): Tyrone Nathaniel Watson, Christina Magee, Catherine Harper
Hearing Site: Orlando, FL
| | Expungement |
| 22-00114 | 09/23/2022 | Claimant(s): Gregory Crance
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Oneamerica Securities., Principal Securities.
Respondent Lawyers(s): Kathryn Roe Eldridge
Arbitrator(s): Mollie Wagner Neal
Hearing Site: Birmingham, AL
| | |
| 22-00111 | 08/04/2022 | Claimant(s): Gregory Crance
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Principal Securities.
Respondent Lawyers(s): Kathryn Roe Eldridge
Arbitrator(s): Marvin Kent Speigner
Hearing Site: Birmingham, AL
| | |
