| 23-02835 | 07/12/2024 | Claimant(s): Michael Bristoll
Claimant Lawyers(s): James P. Galvin
Respondent(s): Vanguard Marketing Corporation
Respondent Lawyers(s): Paula Shaffner
Arbitrator(s): Louis M. Parker
Hearing Site: Phoenix, AZ
| | |
| 22-00041 | 06/15/2023 | Claimant(s): James Devary
Claimant Lawyers(s): Orit Goldring
Respondent(s): National Securities Corporation, Forte Capital Group.
Respondent Lawyers(s): Seth N. Bursky, Steven E. Mellen
Arbitrator(s): Louis M. Parker, Marcia A. Herrmann, Renee Bryna Gerstman
Hearing Site: Phoenix, AZ
| | |
| 22-00657 | 11/17/2022 | Claimant(s): Brent Ure
Claimant Lawyers(s): James P Galvin
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Louis M. Parker, Ann H. Nevers, Nancy Lynn Boyd
Hearing Site: Las Vegas, NV
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| 22-00289 | 10/04/2022 | Claimant(s): Juan Ley
Claimant Lawyers(s): Cory L. Braddock
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Paul Yarns
Arbitrator(s): Louis M. Parker, Adam Dylan Wick, Carrie Lynette Thompson Jones
Hearing Site: Phoenix, AZ
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| 20-02946 | 05/18/2021 | Claimant(s): Matthew Williams
Claimant Lawyers(s): Stephan Louviere
Respondent(s): Vanguard Marketing Corporation
Respondent Lawyers(s): Kenneth J. Turnbull
Arbitrator(s): Louis M. Parker, Denis Frank, Carrie Lynette Thompson Jones
Hearing Site: Phoenix, AZ
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| 19-02404 | 03/19/2020 | Claimant(s): Wedbush Securities Inc.
Claimant Lawyers(s): Charles LaChaussee
Respondent(s): Arthur Hoffman
Respondent Lawyers(s): Arthur Stewart Hoffman
Arbitrator(s): Louis M. Parker
Hearing Site: Phoenix, AZ
| | |
| 19-01004 | 09/06/2019 | Claimant(s): Hamilton Durning
Claimant Lawyers(s): Hamilton L. Durning
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Ilana Herscovitz Reid
Arbitrator(s): Louis M. Parker
Hearing Site: Phoenix, AZ
|  | $0 |
| 16-02682 | 05/24/2017 | Claimant(s): SII Investments.
Claimant Lawyers(s): Scott A. Chernich
Respondent(s): Charles Sandoval
Respondent Lawyers(s): Charles Courtney Sandoval
Arbitrator(s): Louis M. Parker
Hearing Site: Phoenix, AZ
| | |
| 15-01050 | 05/22/2017 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Scott A. La Porta
Respondent(s): Michael Moats
Respondent Lawyers(s): Michael Glenn Moats
Arbitrator(s): Louis M. Parker
Hearing Site: Phoenix, AZ
| | |
| 15-02865 | 10/13/2016 | Claimant(s): Jay Simon
Claimant Lawyers(s): Hilton M. Weiner
Respondent(s): Anthony Monaco, Jonathan Rago, Kevin Meade, Nicholas Milano, Robert Eide, Aegis Capital Corp.
Respondent Lawyers(s): Gregg Breitbart
Arbitrator(s): Louis M. Parker
Hearing Site: Phoenix, AZ
| | $0 |
