| 22-02717 | 11/25/2024 | Claimant(s): Jeffrey Hannah
Claimant Lawyers(s): Jeffrey Hannah
Respondent(s): Thomas Hampton, MML Investors Services
Respondent Lawyers(s): Jennifer P. Farrar, Julie E. Ravis
Arbitrator(s): G. Maynard Green
Hearing Site: Birmingham, AL
|  | Expungement |
| 23-02438 | 10/07/2024 | Claimant(s): William Burks
Claimant Lawyers(s): Jennifer P. Farrar
Respondent(s): Centaurus Financial.
Respondent Lawyers(s): Michael J. Carey
Arbitrator(s): Joseph Neal Richardson
Hearing Site: Dallas, TX
| | |
| 23-01795 | 08/28/2024 | Claimant(s): Michael Kuczinski
Claimant Lawyers(s): Jennifer P. Farrar
Respondent(s): OSAIC Wealth, Investors Capital Corp.
Respondent Lawyers(s): David Feldstein, Jennifer R. Cox
Arbitrator(s): Guillermo L. Bosch
Hearing Site: Philadelphia, PA
| | |
| 23-02899 | 06/24/2024 | Claimant(s): Kevin Dziubela
Claimant Lawyers(s): Jennifer P. Farrar
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Emily A. Hayes
Arbitrator(s): Debra A. Jenks, Alessandra Piras Torrens
Hearing Site: Boca Raton, FL
| | |
| 23-02789 | 06/12/2024 | Claimant(s): Kyle Gardner
Claimant Lawyers(s): Jennifer P. Farrar
Respondent(s): SCF Securities.
Respondent Lawyers(s): John T. Unger
Arbitrator(s): David A. Schuler
Hearing Site: Dallas, TX
| | |
| 23-01743 | 04/30/2024 | Claimant(s): Francis Amsler, Marc Laborde
Claimant Lawyers(s): Jennifer P. Farrar
Respondent(s): Rockefeller Financial LLC
Respondent Lawyers(s): William Fenrich
Arbitrator(s): Jeffrey R. Jury
Hearing Site: Houston, TX
| | |
| 22-02894 | 04/17/2024 | Claimant(s): Peggy Hedgren
Claimant Lawyers(s): Jennifer P. Farrar
Respondent(s): Edward Jones
Respondent Lawyers(s): Donald R. Littlefield
Arbitrator(s): Allan R. Lazor, David Aaron DeSoto, Fred Olivares
Hearing Site: Houston, TX
| | Expungement |
| 23-02803 | 04/03/2024 | Claimant(s): Leslie Rosenblatt
Claimant Lawyers(s): Jennifer P. Farrar
Respondent(s): WFG Investments.
Respondent Lawyers(s): David Williams
Arbitrator(s): Frances Johnson Wright
Hearing Site: Dallas, TX
| | |
| 23-01741 | 03/05/2024 | Claimant(s): Heath Goldstein
Claimant Lawyers(s): Jennifer P. Farrar
Respondent(s): Calton & Associates.
Respondent Lawyers(s): Saad Rahmouni-Idrissi
Arbitrator(s): Mark Astarita, Julian F. Santos, Allan Marain
Hearing Site: Jersey City, NJ
| | |
| 23-02026 | 02/01/2024 | Claimant(s): Jonathan Beitler
Claimant Lawyers(s): Jennifer P. Farrar
Respondent(s): Cambridge Investment Research.
Respondent Lawyers(s): Kristina J. Branstetter
Arbitrator(s): Monica I. Salis
Hearing Site: Boca Raton, FL
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