| 22-00090 | 08/29/2024 | Claimant(s): International Assets Advisory, International Assets Investment Mgmt LLC
Claimant Lawyers(s): Joshua A. Katz
Respondent(s): Jacob Jansen
Respondent Lawyers(s): Joseph B. Alonso
Arbitrator(s): Michael J. Meeusen, Thomas J. Gmeinder, James Martell Martin
Hearing Site: Minneapolis, MN
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| 19-01254 | 03/16/2022 | Claimant(s): Alexander Garrett
Claimant Lawyers(s): Joseph B. Alonso
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Elizabeth E. Moum
Arbitrator(s): Harvey R. Linder, Saundra M Clark, Garrett W. Murphy
Hearing Site: Atlanta, GA
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| 17-02477 | 08/31/2018 | Claimant(s): Christopher Wynne, David Austin, Lisa Schiffer, Niraj Bhandari
Claimant Lawyers(s): Joseph B. Alonso
Respondent(s): Securities America.
Respondent Lawyers(s): Bruce M. Bettigole
Arbitrator(s): James R. McGuone, Gary P. Alexander, Jay A Kaplan
Hearing Site: Atlanta, GA
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| 13-02673 | 12/10/2014 | Claimant(s): Stephen Heil
Claimant Lawyers(s): Joseph B. Alonso
Respondent(s): LPL Financial LLC, Dennis Ulrich, Jeffrey Westerhold, Kimberly Loy, Steven Langendorf
Respondent Lawyers(s): Rachel E. Stephens, Thomas E. Berry
Arbitrator(s): Thomas J. Ray, Joseph V. Simeri, David J. Bokal
Hearing Site: St. Louis, MO
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| 11-03379 | 03/18/2013 | Claimant(s): J.J.B. Hilliard, W.L. Lyons
Claimant Lawyers(s): Reva D. Campbell
Respondent(s): Jay Otto, Jeffrey Lutz, Morgan Stanley, Tammy Kinstle
Respondent Lawyers(s): Joseph B. Alonso, Salvador M. Hernandez
Arbitrator(s): John B. Glueckert, Gregory P. Szuter, James Stephen Smith
Hearing Site: Cincinnati, OH
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| 11-03222 | 01/18/2013 | Claimant(s): John Wassenaar
Claimant Lawyers(s): Joseph B. Alonso
Respondent(s): CF Global Trading
Respondent Lawyers(s): Lainie E. Cohen
Arbitrator(s): Kathleen Hoey Gorr, Katherine Levitan, Francis Xavior Daumen
Hearing Site: Buffalo, NY
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| 09-04752 | 02/25/2011 | Claimant(s): Investment Professionals.
Claimant Lawyers(s): Joseph B. Alonso
Respondent(s): Joshua Freeman
Respondent Lawyers(s): Royal B. Lea
Arbitrator(s): Dolores M Martin, Charles E. Munson, Frederick Randolph Box
Hearing Site: Houston, TX
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| 09-00364 | 11/09/2010 | Claimant(s): Investment Professionals.
Claimant Lawyers(s): Joseph B. Alonso
Respondent(s): Betsy Perryman, Matthew Marcom
Respondent Lawyers(s): Royal Lea
Arbitrator(s): Jerry C. Prestridge, Richard F. Dole, Charles A. Bankston
Hearing Site: Houston, TX
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| 08-02482 | 12/29/2009 | Claimant(s): Lance Beck
Claimant Lawyers(s): Joseph B. Alonso
Respondent(s): Suntrust Robinson Humphrey.
Respondent Lawyers(s): Terry R. Weiss
Arbitrator(s): Joyce F. Glucksman, Monique Michelle Wilkerson, Bonnie B. Revoner
Hearing Site: Atlanta, GA
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| 08-01809 | 06/22/2009 | Claimant(s): Morgan Keegan & Company.
Claimant Lawyers(s): Joseph B. Alonso
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): G. Robert Abrams, Laura Jeanette Cognetti, Nikola Bjelajac
Hearing Site: Ft. Lauderdale, FL
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