| 23-01257 | 12/06/2023 | Claimant(s): Andrew Schroeder
Claimant Lawyers(s): James P. Galvin
Respondent(s): Cetera Advisors LLC
Respondent Lawyers(s): Jeremy Wooden
Arbitrator(s): William M. Azkoul
Hearing Site: Des Moines, IA
| | |
| 21-02938 | 06/09/2022 | Claimant(s): Kenneth Wise
Claimant Lawyers(s): Anthony J. Borrelli
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Charlotte S. Wolfe
Arbitrator(s): Joseph Edelstein, William M. Azkoul, John C. Aten
Hearing Site: Cleveland, OH
| | |
| 20-01596 | 12/22/2020 | Claimant(s): Christopher Michalak
Claimant Lawyers(s): Brian Luther
Respondent(s): Avantax Investment Services.
Respondent Lawyers(s): Judith Knudsen
Arbitrator(s): William M. Azkoul
Hearing Site: Detroit, MI
| | |
| 20-00005 | 07/27/2020 | Claimant(s): Dustin Christopherson
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Securities America.
Respondent Lawyers(s): Laurel A. Whelan
Arbitrator(s): William M. Azkoul
Hearing Site: Minneapolis, MN
| | |
| 17-02936 | 03/05/2020 | Claimant(s): Cynthia Burch
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Huntleigh Securities Corporation
Respondent Lawyers(s): Patrick Watts
Arbitrator(s): Philip J. Glick, William M. Azkoul, Sheldon Weinhaus
Hearing Site: St. Louis, MO
|  | $750,000 |
| 19-00722 | 12/20/2019 | Claimant(s): James Sandager
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jon D. Kaplon
Arbitrator(s): William M. Azkoul
Hearing Site: Des Moines, IA
| | |
| 19-00564 | 06/26/2019 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): John T. McGuire
Respondent(s): Christopher Coulter
Respondent Lawyers(s): Christopher Kevin Coulter
Arbitrator(s): William M. Azkoul
Hearing Site: St. Louis, MO
| | |
| 16-03559 | 05/30/2017 | Claimant(s): Alan Rosen
Claimant Lawyers(s): Jennifer Tarr
Respondent(s): Gregg Koch, John Piro
Respondent Lawyers(s): Howard F. Greenberg, John Lawlor
Arbitrator(s): William M. Azkoul
Hearing Site: Buffalo, NY
| | $400 |
| 12-02661 | 11/05/2015 | Claimant(s): Harriet Morse IRA, Michael Morse IRA, Michael J. Morse Trust
Claimant Lawyers(s): David J. Shea
Respondent(s): MKD Wealth Coaches, Mackey, Komara & Dankovich LLC
Respondent Lawyers(s): Brian J. Masternak
Arbitrator(s): Lee Hornberger, Melissa B. VanDam, William M. Azkoul
Hearing Site: Detroit, MI
| | $125,250 |
| 11-02606 | 06/03/2014 | Claimant(s): Lee Benz
Claimant Lawyers(s): Richard Sacks
Respondent(s): Glen Darmos, Shelley Davenport, Berthel, Fisher & Company Financial
Respondent Lawyers(s): Steven M. Phillips
Arbitrator(s): Larry C. Kreul, Stuart Sinai, William M. Azkoul
Hearing Site: Detroit, MI
| | $300,000 |
