| 23-00009 | 09/13/2023 | Claimant(s): Brent Lee, Jennifer Donais
Claimant Lawyers(s): Brandon S. Reif
Respondent(s): Concorde Investment Services
Respondent Lawyers(s): Corporate Office
Arbitrator(s): Helen Marinak Blohm, Ramona V. Larson, Kathy A. Tatone
Hearing Site: Bismarck, ND
| | |
| 22-02970 | 08/16/2023 | Claimant(s): William Durrant
Claimant Lawyers(s): Lawton R. Graves
Respondent(s): Esther Iglesias, Lucio Ojeda, Maria Ojeda
Respondent Lawyers(s): Esther Iglesias, Lucio Ojeda, Maria Ojeda
Arbitrator(s): Kathy A. Tatone, Thomas J. Patka, Caroline Josephine Welsh
Hearing Site: Tampa, FL
|  | Expungement |
| 22-00358 | 02/14/2023 | Claimant(s): Michael Garrette
Claimant Lawyers(s): Nicholas J. Guiliano
Respondent(s): First Allied Securities.
Respondent Lawyers(s): Benjamin J. Biard
Arbitrator(s): Maurice M. Feller, Mimi B. Osiason, Kathy A. Tatone
Hearing Site: Tampa, FL
| | Dismissed by Rule 12206 |
| 21-02932 | 09/15/2022 | Claimant(s): Rocky Wuyan, Ting Ma, Rocky Wuyan IRA, Ting Ma IRA, Wuyan Family Irrevocable Trust 11/6/12
Claimant Lawyers(s): Eric S. Pruitt
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Charlotte S. Wolfe
Arbitrator(s): Kathy A. Tatone, John William Kenesey, Mark W Solock
Hearing Site: Chicago, IL
| | $186,963 |
| 21-02022 | 08/10/2022 | Claimant(s): Aurora Hospitality Group LLC
Claimant Lawyers(s): Peter Markos
Respondent(s): Kenneth Moore, Robert Crotty, Boenning & Scattergood.
Respondent Lawyers(s): Matthew D. Turner, Peter Markos
Arbitrator(s): Theodore W. Wrobleski, Jeffrey W. Finke, Kathy A. Tatone
Hearing Site: Chicago, IL
| | Expungement |
| 20-02181 | 06/07/2022 | Claimant(s): Michael Flick
Claimant Lawyers(s): Steven G. Legum
Respondent(s): Gary Demetri
Respondent Lawyers(s): Gary P. Demetri
Arbitrator(s): Jonathan H. Krotinger, Kathy A. Tatone, Thomas R. Bromberg
Hearing Site: Bismarck, ND
| | $0 |
| 19-03741 | 05/27/2022 | Claimant(s): Kraig Ketter
Claimant Lawyers(s): Avinoam Rosenfeld
Respondent(s): David Khezri, Garrett Gaylor
Respondent Lawyers(s): David Khezri, Garrett Randell Gaylor
Arbitrator(s): Jack D. Elmquist, Kevin D. Hofman, Kathy A. Tatone
Hearing Site: Minneapolis, MN
| | $103,000 |
| 20-02211 | 03/17/2021 | Claimant(s): Christopher Burque
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): Kathy A. Tatone
Hearing Site: Minneapolis, MN
| | |
| 13-03590 | 11/28/2014 | Claimant(s): U.S. Bancorp Investments.
Claimant Lawyers(s): Brian Murphy
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Kathy A. Tatone, Robert D. Lawson, Mary Ellen McGinnis
Hearing Site: Minneapolis, MN
| | |
| 13-00955 | 10/29/2014 | Claimant(s): Lorraine Witzel, Ralph Witzel
Claimant Lawyers(s): Kalju Nekvasil
Respondent(s): American Portfolios Financial Serv.
Respondent Lawyers(s): Derek C. Anderson
Arbitrator(s): Richard A. Mosman, Jeffrey W. Jacobs, Kathy A. Tatone
Hearing Site: Minneapolis, MN
| | Expungement |
