| 23-02331 | 04/17/2024 | Claimant(s): Mark Frederick
Claimant Lawyers(s): Brian Luther
Respondent(s): First Allied Securities.
Respondent Lawyers(s): Jeremy Wooden
Arbitrator(s): Kenneth Paul Strongman
Hearing Site: San Francisco, CA
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| 23-01156 | 04/02/2024 | Claimant(s): Cynthia Couyoumjian
Claimant Lawyers(s): Michael Bessette
Respondent(s): LPL Financial LLC, First Allied Securities.
Respondent Lawyers(s): Jeremy Wooden, Kelsey L. Vasko
Arbitrator(s): Robert Rosen
Hearing Site: Los Angeles, CA
| | |
| 23-00585 | 11/13/2023 | Claimant(s): Rohin Ullberg
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): First Allied Securities., SII Investments.
Respondent Lawyers(s): Eric A. Michaels, Jeremy Wooden
Arbitrator(s): Michael F. Jordan
Hearing Site: Chicago, IL
| | |
| 23-01236 | 10/19/2023 | Claimant(s): Kenneth Stern
Claimant Lawyers(s): Robert Moses
Respondent(s): First Allied Securities.
Respondent Lawyers(s): Jeremy Wooden
Arbitrator(s): Barbara M. Zak
Hearing Site: San Diego, CA
| | |
| 23-00025 | 08/18/2023 | Claimant(s): Robert Weissbein
Claimant Lawyers(s): Jessica E. Levine
Respondent(s): First Allied Securities., Capital Guardian
Respondent Lawyers(s): Jeremy Wooden, Sandro L. Ramos
Arbitrator(s): Steven Gerard Goerke
Hearing Site: Boca Raton, FL
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| 22-01896 | 08/10/2023 | Claimant(s): Terry Anderson
Claimant Lawyers(s): Avinoam Rosenfeld
Respondent(s): Securities America., First Allied Securities., Capwest Securities., International Assets Advisory, J.W. Cole Financial., QA3 Financial Corp.
Respondent Lawyers(s): Dale K. Hall, Emily M. Knight, Jennifer R. Cox, Jeremy Wooden, Myra P. Nicholson, Stephen K. Wild
Arbitrator(s): Steven Meyrich, Leonard M. Goldstein, Aaron J. Haley
Hearing Site: Denver, CO
| | |
| 22-02764 | 06/12/2023 | Claimant(s): Alan Kent
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): First Allied Securities.
Respondent Lawyers(s): Jeremy Wooden
Arbitrator(s): Michael J. Ahlstrom
Hearing Site: Jackson, MS
| | |
| 21-02610 | 05/30/2023 | Claimant(s): Luigj Perkaj
Claimant Lawyers(s): Tom De Bow
Respondent(s): First Allied Securities.
Respondent Lawyers(s): Samuel P. Mauch
Arbitrator(s): Martin Brosnan, Richard Edward Rassel, Mark Gregory Brackon
Hearing Site: Detroit, MI
|  | Dismissed with Rule 12206 |
| 22-01303 | 05/19/2023 | Claimant(s): Kimberly Barentsen
Claimant Lawyers(s): Jeffrey K. Compton
Respondent(s): First Allied Securities., NPB Financial Group
Respondent Lawyers(s): Jeremy Wooden, Shirley J. Coria
Arbitrator(s): Philip Aaron Tymon, Nancy Lynne Williamson, Wendy L Schmidt
Hearing Site: San Francisco, CA
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| 22-01742 | 04/03/2023 | Claimant(s): David Wilson
Claimant Lawyers(s): Samantha Pastor
Respondent(s): Robert W. Baird & Co. Incorporated, First Allied Securities.
Respondent Lawyers(s): Jeremy Wooden, Todd A. Holleman
Arbitrator(s): Carl E. Ver Beek
Hearing Site: Detroit, MI
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