23-03601 | 10/31/2024 | Claimant(s): Richard Treat Claimant Lawyers(s): Matthew N. Thibaut Respondent(s): Woodbury Financial Services. Respondent Lawyers(s): Justin Sacca Arbitrator(s): Leonard Arthur Nelson Hearing Site: Denver, CO
| | $0 |
23-02338 | 05/16/2024 | Claimant(s): Steven Mogul Claimant Lawyers(s): Craig A. Riha Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): John Murphy Arbitrator(s): Leonard Arthur Nelson Hearing Site: Chicago, IL
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22-00526 | 03/13/2024 | Claimant(s): Patrick Troy, Patrick J. Troy Living Trust Claimant Lawyers(s): John J. Muldoon Respondent(s): Brad Goldberg, Citigroup Global Markets. Respondent Lawyers(s): Adam Kauff Arbitrator(s): Leonard Arthur Nelson, Yana Karnaukhov, Takia D Washington Hearing Site: Chicago, IL
| | $1 |
23-01207 | 12/19/2023 | Claimant(s): Andrew Denney Claimant Lawyers(s): Dochtor Kennedy Respondent(s): LPL Financial LLC Respondent Lawyers(s): Jon D. Kaplon Arbitrator(s): Leonard Arthur Nelson Hearing Site: Kansas City, MO
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22-02902 | 09/06/2023 | Claimant(s): Sofi Securities LLC Claimant Lawyers(s): Michele R. Underwood Respondent(s): Timothy Worley Respondent Lawyers(s): Timothy Worley Arbitrator(s): Leonard Arthur Nelson Hearing Site: Denver, CO
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22-01275 | 08/07/2023 | Claimant(s): Ray Nuss Claimant Lawyers(s): Ray Nuss Respondent(s): Edward Jones Respondent Lawyers(s): Victoria H. Buter Arbitrator(s): Rhonda S. McCarthy, Leonard Arthur Nelson, Troy J. Bird Hearing Site: Omaha, NE
| | Dismissed by Rule 12212 |
22-02319 | 05/03/2023 | Claimant(s): Timothy Kneen Claimant Lawyers(s): James P Galvin Respondent(s): UBS Financial Services Inc., Citigroup Global Markets. Respondent Lawyers(s): Adam M. Kauff, John Murphy Arbitrator(s): Leonard Arthur Nelson, Tosh Daniel Grebenik, Matthew Stalcup Hearing Site: Denver, CO
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17-00464 | 10/17/2022 | Claimant(s): Richard Lanpher Claimant Lawyers(s): Michael C. Mahoney Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Kimberley E. Lunetta Arbitrator(s): Robert Benbow Phillips, Leonard Arthur Nelson, Richard Beens Hearing Site: Minneapolis, MN
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22-00529 | 09/26/2022 | Claimant(s): Nathan Kinzinger Claimant Lawyers(s): Michael P. Tomlinson Respondent(s): Northwestern Mutual Investment Services Respondent Lawyers(s): Thomas K. Anderson Arbitrator(s): Mitchell Lee Marinello, Leonard Arthur Nelson, Lynn Hirschfeld Brahin Hearing Site: Chicago, IL
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19-01461 | 05/10/2022 | Claimant(s): Leslie Miller Claimant Lawyers(s): Matthew H. Hoy Respondent(s): Fidelity Brokerage Services LLC Respondent Lawyers(s): Noah D. Sorkin Arbitrator(s): Leonard Arthur Nelson, Steven Joseph Streen, Robert S. Baran Hearing Site: Kansas City, MO
| | $1 |