21-00039 | 07/07/2021 | Claimant(s): Richard Swider Claimant Lawyers(s): Dochtor Kennedy Respondent(s): M Holdings Securities. Respondent Lawyers(s): Casey Dougherty, CCO Arbitrator(s): Leon Fox Hearing Site: Milwaukee, WI
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18-04105 | 07/05/2019 | Claimant(s): Mary Jo Hayes Claimant Lawyers(s): Howard Rosenburg Respondent(s): Chicago Investment Group Respondent Lawyers(s): Mary Jo Hayes, CCO Arbitrator(s): Lynn Hirschfeld Brahin Hearing Site: Chicago, IL
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17-00756 | 10/02/2018 | Claimant(s): David Morin Claimant Lawyers(s): Jonathan E. Neuman Respondent(s): Windsor Street Capital Respondent Lawyers(s): John Stalanski, CCO Arbitrator(s): R. Lee Britton Jr., Montie G. Grimes, Jonathan Charles Day Hearing Site: Houston, TX
| | $287,186 |
16-02728 | 04/20/2017 | Claimant(s): Matthew Jehn Claimant Lawyers(s): Dennis J. Concilla Respondent(s): WRP Investments., Wellstone Securities Respondent Lawyers(s): Raymond Noragon, CCO, William R. Pintaric, Jr., VP Arbitrator(s): Julius Z. Frager, Christy K. Radigan, W Charles Curley Hearing Site: Columbus, OH
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15-02744 | 03/22/2017 | Claimant(s): Bernard Revocable Living Trust Claimant Lawyers(s): Mary Cate Cicero Respondent(s): Cesar Rodriguez, David Allen, Michael Clements, Avenir Financial Group Respondent Lawyers(s): Cesar Rodriguez, David Allen, Michael Todd Clements, Michael Clements, CCO Arbitrator(s): Lawrence R. Commers, Michael Allen Meixner, Robert Meredith Altman-Segal Hearing Site: Minneapolis, MN
| | $250,180 |
13-02229 | 11/18/2014 | Claimant(s): Ed Herringshaw, Mark Rowe, Mary Rowe, Oscar Jones, Roger Matz, Warren Cherry, Estate of Allen Bakker, John Wakefield, Lee Levine, Mark Bentley, Mary Kochenderfer, Melissa Overbay, Paul Wright, Pete Altimore, Robert Evans, Roger Michael, Ron Appelt, W. Bruce Overbay, Wayne Kochenderfer Claimant Lawyers(s): Wesley Lotz Respondent(s): U.S. Capital Advisors LLC, USCA RIA LLC, USCA Securities LLC Respondent Lawyers(s): Suzanne Hickey, CCO Arbitrator(s): Charles E. Munson, William A. Allen, David C. Redford Hearing Site: Houston, TX
| | Settlement |
09-05472 | 12/02/2010 | Claimant(s): Mary McIntire, Thomas Grant Claimant Lawyers(s): Eliot D. Shavin Respondent(s): John Sprague, AFS Brokerage., Evolve Securities., First Midamerica Investment Corporation, Sprague Captial Management Group Respondent Lawyers(s): David A. Calhoun, Douglas Hemke, Kenneth Shade, CCO, Patrick Lanier, Phillips A. Danks Arbitrator(s): Linda Broocks, William S. Hopkins, Michael S. Wilk Hearing Site: Houston, TX
| | $261,300 |