| 20-01053 | 02/24/2021 | Claimant(s): Christine Tang
Claimant Lawyers(s): Chelsea Masters
Respondent(s): First Allied Securities.
Respondent Lawyers(s): Jeremy Wooden
Arbitrator(s): Benjamin F. Breslauer
Hearing Site: Los Angeles, CA
| | |
| 20-01837 | 12/23/2020 | Claimant(s): Christine McBroom
Claimant Lawyers(s): Sylvia M Scott
Respondent(s): First Allied Securities.
Respondent Lawyers(s): Jeremy Wooden
Arbitrator(s): Peter H. Daly
Hearing Site: San Francisco, CA
| | |
| 18-03528 | 08/21/2020 | Claimant(s): James Harting Trust
Claimant Lawyers(s): James R. Harting
Respondent(s): Timothy Rice, First Allied Securities., Lakeside Wealth Management Group
Respondent Lawyers(s): Derek C. Anderson
Arbitrator(s): Charles Orlove, Leonard Arthur Nelson, Theresa A Gillerlain
Hearing Site: Chicago, IL
|  | $0 |
| 19-03124 | 08/10/2020 | Claimant(s): Irma L. Castrova
Claimant Lawyers(s): Robert B. Volynsky
Respondent(s): First Allied Securities.
Respondent Lawyers(s): Elizabeth Lowery
Arbitrator(s): Robert Rosen, Milton N. Gross, Walter Thompson
Hearing Site: Los Angeles, CA
| | $0 |
| 19-03617 | 06/12/2020 | Claimant(s): Virgil Threlkeld
Claimant Lawyers(s): David Monsour
Respondent(s): First Allied Securities.
Respondent Lawyers(s): Jeremy Wooden
Arbitrator(s): Daniel M. Yamshon
Hearing Site: San Francisco, CA
| | |
| 18-03668 | 04/28/2020 | Claimant(s): Jeanna Carrick, Michael Carrick, Carrick Family Trust DTD 9/5/07
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): Marsha Lee, First Allied Securities., Marsha Lee & Company.
Respondent Lawyers(s): Jeffrey Compton
Arbitrator(s): Ronald L. Cameron, Robert C. Albini, Terry Lynn Chambless
Hearing Site: Los Angeles, CA
| | $0 |
| 18-04362 | 02/11/2020 | Claimant(s): Cynthia Couyoumjian
Claimant Lawyers(s): Harris Freedman
Respondent(s): LPL Financial LLC, First Allied Securities.
Respondent Lawyers(s): Jeremy Wooden, Jon D. Kaplon
Arbitrator(s): Robert D. Sussin
Hearing Site: Los Angeles, CA
| | |
| 18-02383 | 04/10/2019 | Claimant(s): Lauren Gidley
Claimant Lawyers(s): Tosh D Grebenik
Respondent(s): First Allied Securities.
Respondent Lawyers(s): Christina Vourakis
Arbitrator(s): Gerald W. Hepp
Hearing Site: Buffalo, NY
| | |
| 17-01858 | 02/11/2019 | Claimant(s): Virgil Threlkeld
Claimant Lawyers(s): Gordon C. Young
Respondent(s): First Allied Securities.
Respondent Lawyers(s): Jeremy Wooden
Arbitrator(s): Kevin C. Coleman
Hearing Site: San Francisco, CA
| | |
| 17-03439 | 01/18/2019 | Claimant(s): Mike Snow, Nita Snow
Claimant Lawyers(s): Niel Prosser
Respondent(s): Larry Boggs, American Retirement Solutions of Louisia, First Allied Advisory Services., First Allied Securities.
Respondent Lawyers(s): Mickey B. Wright
Arbitrator(s): Denise Morris Hammond, Irwin Venick, James Raybeck
Hearing Site: Nashville, TN
| | $1,488,750 |
