| 23-02774 | 09/23/2024 | Claimant(s): Andrew Tressler
Claimant Lawyers(s): Jennifer Poole Farrar
Respondent(s): GunnAllen Financial, Continental Broker-Dealer Corp., Trident Partners Ltd.
Respondent Lawyers(s): Deborah Anne Williams, Michael Clements, Nicholas Scavone
Arbitrator(s): Ellyn S. Roth
Hearing Site: New York, NY
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| 23-02768 | 08/09/2024 | Claimant(s): Francis Amsler, Marc Laborde
Claimant Lawyers(s): Jennifer Poole Farrar
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): John Murphy
Arbitrator(s): Jeffrey R. Jury
Hearing Site: Houston, TX
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| 23-02844 | 06/27/2024 | Claimant(s): Rodrigue Lors
Claimant Lawyers(s): Jennifer Poole Farrar
Respondent(s): National Securities Corporation, Wilmington Capital Securities
Respondent Lawyers(s): Dennis Lee, Emily A. Hayes
Arbitrator(s): Brian John Gallagher
Hearing Site: New York, NY
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| 23-01147 | 11/08/2023 | Claimant(s): Ryan Wroblewski
Claimant Lawyers(s): Jennifer Poole Farrar
Respondent(s): Aegis Capital Corp.
Respondent Lawyers(s): Kevin Meade
Arbitrator(s): Susan C Lushing
Hearing Site: New York, NY
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| 23-01146 | 10/05/2023 | Claimant(s): Leon Almeida
Claimant Lawyers(s): Jennifer Poole Farrar
Respondent(s): MML Investors Services, MSI Financial Services.
Respondent Lawyers(s): Julie E. Ravis
Arbitrator(s): Edith M. Novack
Hearing Site: Jersey City, NJ
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| 22-02766 | 06/23/2023 | Claimant(s): Timothy Hightower
Claimant Lawyers(s): Jennifer Poole Farrar
Respondent(s): Capital Investment Group., WFG Investments.
Respondent Lawyers(s): David Williams, Mickey B. Wright
Arbitrator(s): Thomas W. Allen
Hearing Site: Dallas, TX
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| 22-02074 | 05/23/2023 | Claimant(s): Jason Hawke
Claimant Lawyers(s): Jennifer Poole Farrar
Respondent(s): LPL Financial LLC, J. P. Turner & Company LLC
Respondent Lawyers(s): David Feldstein, Kelsey Vasko
Arbitrator(s): Daniel M. Yamshon
Hearing Site: Boise, ID
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| 20-00235 | 03/14/2022 | Claimant(s): Cara Thomas
Claimant Lawyers(s): Jennifer Poole Farrar
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Julie L. Taylor
Arbitrator(s): Stuart K. Furman, Mildred Dorta, Mary Ann Etzler
Hearing Site: Orlando, FL
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