| 23-01261 | 12/21/2023 | Claimant(s): William Groves
Claimant Lawyers(s): James P. Galvin
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Michael A. Gross
Arbitrator(s): David A. Schuler
Hearing Site: New Orleans, LA
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| 23-01257 | 12/06/2023 | Claimant(s): Andrew Schroeder
Claimant Lawyers(s): James P. Galvin
Respondent(s): Cetera Advisors LLC
Respondent Lawyers(s): Jeremy Wooden
Arbitrator(s): William M. Azkoul
Hearing Site: Des Moines, IA
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| 23-02033 | 11/17/2023 | Claimant(s): Charles Reimer
Claimant Lawyers(s): James P. Galvin
Respondent(s): Citizens Securities.
Respondent Lawyers(s): Stuart D. Roberts
Arbitrator(s): Thomas E Kopil, Arthur Traldi, Michael Daniel Lamm
Hearing Site: Philadelphia, PA
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| 22-02659 | 06/13/2023 | Claimant(s): Chenguttuvan Surendran
Claimant Lawyers(s): James P. Galvin
Respondent(s): Continental Broker-Dealer Corp.
Respondent Lawyers(s): Sue Zouky
Arbitrator(s): Susanne J. Hollander, James Hofheimer, Jean Jacques Kande
Hearing Site: Chicago, IL
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| 22-02675 | 05/31/2023 | Claimant(s): Kristina Nichols
Claimant Lawyers(s): James P. Galvin
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Katelyn H. Wilson
Arbitrator(s): Brian John Gallagher
Hearing Site: New York, NY
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| 22-02238 | 03/31/2023 | Claimant(s): Joseph Bowden
Claimant Lawyers(s): James P. Galvin
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Katelyn H. Wilson
Arbitrator(s): Donna Greenspan Solomon
Hearing Site: Boca Raton, FL
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| 22-01788 | 03/03/2023 | Claimant(s): Loizos Kapnisi
Claimant Lawyers(s): James P. Galvin
Respondent(s): TIAA-CREF Individual & Institutional Svc
Respondent Lawyers(s): Julie Calderon Rizzo
Arbitrator(s): Jim Geiger
Hearing Site: Richmond, VA
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| 22-01753 | 01/27/2023 | Claimant(s): Don Rudolph
Claimant Lawyers(s): James P. Galvin
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Kelsey Vasko
Arbitrator(s): Michael J. Ahlstrom, Michael J. Pasquale, Paul Nicholas Inserra
Hearing Site: Raleigh, NC
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| 22-01400 | 01/24/2023 | Claimant(s): Harold Madison
Claimant Lawyers(s): James P. Galvin
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): Laura Ruiz Rivera
Arbitrator(s): Michael Jeffrey Norton, Amani Amir Ali, Sophia C. Hassman
Hearing Site: Denver, CO
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| 22-00516 | 10/17/2022 | Claimant(s): David Thompson
Claimant Lawyers(s): James P. Galvin
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): John P. Cullem, Stuart Sinai, Philip L. Manczak
Hearing Site: Tampa, FL
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