| 22-01229 | 01/05/2024 | Claimant(s): Boustead Securities, Llc
Claimant Lawyers(s): Joseph Dale Wilson
Respondent(s): EBET.
Respondent Lawyers(s): Farhad Novian
Arbitrator(s): Joseph C. Watson, Richard Maurice Robinson, Michael Craig Ditty
Hearing Site: Los Angeles, CA
| | |
| 23-01125 | 12/26/2023 | Claimant(s): Sahand Elmtalab
Claimant Lawyers(s): Michael E. Rowe
Respondent(s): Mml Investors Services, Llc, Northwestern Mutual Investment Services,
Respondent Lawyers(s): Clarke C. Greene, Jullie E. Ravis
Arbitrator(s): Tracy L. Allen
Hearing Site: Minneapolis, MN
| | |
| 21-02253 | 03/04/2022 | Claimant(s): Almaz Tesfamariam
Claimant Lawyers(s): Almaz Tesfamariam
Respondent(s): John Lavalle, William Auriemma, Wells Fargo Clearing Services, Llc
Respondent Lawyers(s): Jeffery D. Rodgers
Arbitrator(s): David Paul Clark
Hearing Site: Washington, DC
|  | $0 |
| 20-01899 | 02/15/2022 | Claimant(s): Kristi Trowbridge, Stephen Trowbridge
Claimant Lawyers(s): Ross E Webster
Respondent(s): Kestra Investment Services, Llc
Respondent Lawyers(s): Lydia R. Zaidman
Arbitrator(s): Bill Lamoreaux, Victor L. Hayslip, Charles Lange Clark
Hearing Site: Birmingham, AL
| | |
| 20-00687 | 04/21/2021 | Claimant(s): Laurie LaRoche
Claimant Lawyers(s): David Miller
Respondent(s): James McPherson, Sandlapper Securities, Llc
Respondent Lawyers(s): James Dwight McPherson, Trevor L. Gordon
Arbitrator(s): Steven Ira Weinberger, Randy Atlas, Margo Leslie Green
Hearing Site: Boca Raton, FL
| | $125,000 |
| 18-02854 | 11/25/2020 | Claimant(s): Timothy Bussey, Bussey Law Firm, P.C., Bussey Law Firm 401K Profit Sharing Pla
Claimant Lawyers(s): James R. Miller
Respondent(s): Danny Holladay, Ian Ahrendsen, Michael Clark, MML Investors Services, Llc
Respondent Lawyers(s): Derek C. Anderson, Julie E. Ravis, Michael H. Clark
Arbitrator(s): Steven Meyrich, Thomas R. Bromberg, Andrew Barton
Hearing Site: Denver, CO
| | $0 |
| 19-02598 | 07/23/2020 | Claimant(s): Mitchell Walk
Claimant Lawyers(s): Harris Freedman
Respondent(s): Kestra Investment Services, Llc
Respondent Lawyers(s): Richard D'Amura
Arbitrator(s): Martin M. Van Luven
Hearing Site: Orlando, FL
| | |
| 19-00345 | 09/18/2019 | Claimant(s): Stephanie Abee
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Kestra Investment Services, Llc, Transamerica Financial Advisors
Respondent Lawyers(s): David J. Lehr, Susan D. Duff
Arbitrator(s): Kenneth R. Starr
Hearing Site: Raleigh, NC
| | |
| 18-01308 | 07/11/2019 | Claimant(s): Wilfredo Mendez Morales
Claimant Lawyers(s): Philip J. Snyderburn
Respondent(s): Allstate Financial Services, Llc
Respondent Lawyers(s): Pete Tepley
Arbitrator(s): Larry G. Kjosa, Robert G. Bannon, Dwayne Eddie Hickman
Hearing Site: Orlando, FL
| | |
| 18-04311 | 05/31/2019 | Claimant(s): Spartan Capital Securities, Llc
Claimant Lawyers(s): Matthew Fiorovanti
Respondent(s): Matthew Siliato
Respondent Lawyers(s): Matthew Angelo Siliato
Arbitrator(s): Karimu F. Hill-Harvey
Hearing Site: New York, NY
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