22-01678 | 03/31/2023 | Claimant(s): Dennis Thurman Claimant Lawyers(s): Dochtor Kennedy Respondent(s): First Allied Securities. Respondent Lawyers(s): Jeremy Wooden Arbitrator(s): Gregory G. Gocek Hearing Site: Omaha, NE
| | |
21-00524 | 03/24/2023 | Claimant(s): Tyron Smith Claimant Lawyers(s): Susan J. Foster Respondent(s): William Saplicki, First Allied Advisory Services., First Allied Securities. Respondent Lawyers(s): John P. Kincade Arbitrator(s): Frances Johnson Wright, Joseph A. Vicario, Ye Whei Peter Chen Hearing Site: Dallas, TX
| | 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 |
22-00388 | 01/05/2023 | Claimant(s): Andrew Scheirer Claimant Lawyers(s): Harris Freedman Respondent(s): First Allied Securities. Respondent Lawyers(s): Jeremy Wooden Arbitrator(s): Gerald Thomas Harper Hearing Site: Orlando, FL
| | |
20-00452 | 12/02/2022 | Claimant(s): Barbara Moger Claimant Lawyers(s): Christopher J. Albanese Respondent(s): Christopher Braccia, Stephen Oliver, First Allied Securities. Respondent Lawyers(s): Garry T. Stevens Arbitrator(s): Diane Ciccone, Carol H. Gold, Christin Kim Hearing Site: Philadelphia, PA
| | Expungement |
21-02646 | 11/22/2022 | Claimant(s): Carol Monte Claimant Lawyers(s): Kalju Nekvasil Respondent(s): First Allied Securities. Respondent Lawyers(s): Elizabeth Lowery Arbitrator(s): Jonathan H. Krotinger, Paul E. Dahlman, Jon Richard Catten Hearing Site: Boise, ID
| | Expungement |
22-00483 | 09/29/2022 | Claimant(s): Andrew Scheirer Claimant Lawyers(s): Harris Freedman Respondent(s): First Allied Securities. Respondent Lawyers(s): Jeremy Wooden Arbitrator(s): Stuart K. Furman Hearing Site: Orlando, FL
| | |
21-02919 | 08/01/2022 | Claimant(s): William Hunt Claimant Lawyers(s): Zachary Morse Respondent(s): First Allied Securities. Respondent Lawyers(s): Jeremy Wooden Arbitrator(s): John P. Cullem Hearing Site: Jacksonville, FL
| | |
21-02803 | 07/15/2022 | Claimant(s): First Allied Securities. Claimant Lawyers(s): David G. Smitham Respondent(s): Neil Fineman Respondent Lawyers(s): Neil S. Fineman Arbitrator(s): Charles Chia-Lin Hsieh Hearing Site: San Diego, CA
| | |
21-01512 | 07/01/2022 | Claimant(s): Mitchell Dehler, Sadhna Dehler, Mitchell Dehler SEP IRA, Sadhna Dehler Roth IRA Claimant Lawyers(s): Adam J. Gana Respondent(s): First Allied Securities. Respondent Lawyers(s): Elizabeth Lowery Arbitrator(s): Susan B. Gans-Smith, Gerald Anthony Pokorski, Aaron Nathan Shechet Hearing Site: Los Angeles, CA
| | Expungement |