22-01665 | 03/16/2023 | Claimant(s): Henry Gallardo Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Investors Capital Corp., Securian Financial Services. Respondent Lawyers(s): David Feldstein, Lisa Stopfer Arbitrator(s): Walter Steven Schwartz Hearing Site: Albuquerque, NM
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21-02773 | 08/26/2022 | Claimant(s): Roberto Blanco Claimant Lawyers(s): Dochtor Kennedy Respondent(s): NYLife Securities LLC, Investors Capital Corp. Respondent Lawyers(s): Christopher J. Murdoch, David Feldstein Arbitrator(s): Michael Lancaster Garcia Hearing Site: Albuquerque, NM
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21-02849 | 08/03/2022 | Claimant(s): Jeffrey Maier, Charlotte M. Maier IRA Claimant Lawyers(s): Charlotte M. Maier, Jeffrey S. Maier Respondent(s): Wells Fargo Clearing Services Respondent Lawyers(s): Geoff Beckham Arbitrator(s): Herbert Liberman Hearing Site: Albuquerque, NM
| | $0 |
21-00097 | 07/25/2022 | Claimant(s): Shawn Waked, Theresa Stone, Maestro Global Claimant Lawyers(s): Reagan D. Pratt Respondent(s): Raymond James Financial Services., Securities America., Jane Terry, Kathleen Kerr, Kirk Bell, Timothy Rivera Respondent Lawyers(s): Gregory M. Curley, Peter S. Fruin, Scott C. Matasar Arbitrator(s): Helen Marinak Blohm, Gene R Thornton, Jonathan H. Krotinger Hearing Site: Albuquerque, NM
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20-01960 | 05/25/2022 | Claimant(s): The David and Heather Weir Family Trust Claimant Lawyers(s): Jeffrey B. Kaplan Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Charles A. DeVore Arbitrator(s): Helen Marinak Blohm, Paul H. Lamboley, Harvey W Gordon Hearing Site: Albuquerque, NM
| | $1,447,090 |
21-01144 | 02/10/2022 | Claimant(s): Carol Keene Claimant Lawyers(s): Carol Keene Respondent(s): Anthony Valente, Morgan Stanley, Ronnie Guidone, Yuji Fujii Respondent Lawyers(s): Abigail D. Elrod, Stephany D. McLaughlin Arbitrator(s): Albert T. T. Cook, Paul E. Dahlman, Michael D. Briggs Hearing Site: Albuquerque, NM
| | Expungement |
21-01374 | 02/08/2022 | Claimant(s): Robert W. Baird & Co. Incorporated Claimant Lawyers(s): J. Lucas McFarland Respondent(s): Michael Barth Respondent Lawyers(s): Michael David Barth Arbitrator(s): Paul E. Dahlman Hearing Site: Albuquerque, NM
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21-00826 | 11/22/2021 | Claimant(s): Kenneth Bowers Claimant Lawyers(s): Dochtor Kennedy Respondent(s): The Prudential Insurance Co of America Respondent Lawyers(s): Jennifer E. Novoselsky Arbitrator(s): Laurel Littman Gothelf Hearing Site: Albuquerque, NM
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21-00522 | 11/04/2021 | Claimant(s): Jason McGowan Claimant Lawyers(s): Jason Roy McGowan Respondent(s): Hennion & Walsh. Respondent Lawyers(s): Jennifer Burke Arbitrator(s): Herbert Liberman Hearing Site: Albuquerque, NM
| | $0 |
20-04058 | 08/23/2021 | Claimant(s): Thomas Chaney Claimant Lawyers(s): James P Galvin Respondent(s): LPL Financial LLC Respondent Lawyers(s): Jon D. Kaplon Arbitrator(s): Gene R Thornton, John J. Fitzpatrick, Mary Margaret Bush Hearing Site: Albuquerque, NM
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