| 23-01149 | 08/25/2023 | Claimant(s): Erik Utzinger
Claimant Lawyers(s): Erik Douglas Utzinger
Respondent(s): World Group Securities.
Respondent Lawyers(s): Susan D. Duff
Arbitrator(s): Charles G. Michaels
Hearing Site: Denver, CO
| | |
| 22-00398 | 10/14/2022 | Claimant(s): Michael Valiente
Claimant Lawyers(s): Zachary Morse
Respondent(s): World Group Securities.
Respondent Lawyers(s): Susan D. Duff
Arbitrator(s): Joyce L. Hurley
Hearing Site: Los Angeles, CA
| | |
| 18-02175 | 01/25/2019 | Claimant(s): John Balcerzak
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): WMA Securities., World Group Securities.
Respondent Lawyers(s): Clive Slovin, Susan D. Duff
Arbitrator(s): Lynne T. Albert
Hearing Site: Charlotte, NC
| | |
| 16-03224 | 10/09/2017 | Claimant(s): Vivienne Schleu
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC, WMA Securities., World Group Securities.
Respondent Lawyers(s): Clive Slovin, Jon D. Kaplon, Susan D. Duff
Arbitrator(s): Will Murphy
Hearing Site: Boca Raton, FL
| | |
| 10-00822 | 03/20/2012 | Claimant(s): Robert Kaiser
Claimant Lawyers(s): Robert G. Kaiser
Respondent(s): World Group Securities.
Respondent Lawyers(s): Robert G. Brunton
Arbitrator(s): Philip H. Marmurowski
Hearing Site: Las Vegas, NV
| | |
| 10-04932 | 10/27/2011 | Claimant(s): Jayne Dressor, Marissa Dressor
Claimant Lawyers(s): Jayne Dressor
Respondent(s): World Group Securities.
Respondent Lawyers(s): Robert G. Brunton
Arbitrator(s): Michael D. Harrison
Hearing Site: Los Angeles, CA
|  | Dismissed by Rule 12206 |
| 09-02484 | 05/03/2011 | Claimant(s): Joseph Oliveira
Claimant Lawyers(s): Joseph Oliveira
Respondent(s): James Cabral, Nathan Terrazas, Nikolaos Plakakis, Paula Allen, World Group Securities.
Respondent Lawyers(s): Edward F. Donohue, Jason J. Kim
Arbitrator(s): Laurel Littman Gothelf, Julie D. Soo, Terri Coster Boesch
Hearing Site: San Francisco, CA
| | $0 |
| 07-01491 | 08/25/2009 | Claimant(s): Brad Phalen, Chatt Cottle, Crystal Phalen, Jennifer Cottle
Claimant Lawyers(s): Scott Heselmeyer
Respondent(s): Charles Carter, James Alldredge, World Group Securities.
Respondent Lawyers(s): Amy C. Welborn, David B. Dyer, Robert G. Brunton
Arbitrator(s): Robert R. Nursey, Synthia L. Taylor, Patricia B. Lehtola
Hearing Site: Dallas, TX
| | Expungement |
