| 23-01453 | 08/06/2024 | Claimant(s): Jeffery Sorensen
Claimant Lawyers(s): Peter Lindholm
Respondent(s): Triad Advisors LLC
Respondent Lawyers(s): Jennifer R. Cox
Arbitrator(s): Erik R. Siering
Hearing Site: Los Angeles, CA
| | |
| 23-02847 | 07/12/2024 | Claimant(s): Thomas Pusser
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Triad Advisors LLC
Respondent Lawyers(s): Jennifer R. Cox
Arbitrator(s): Richard P. Regan
Hearing Site: Richmond, VA
| | |
| 23-03035 | 07/09/2024 | Claimant(s): Curt Caserta, Lee Duckworth, Peter Alofsin
Claimant Lawyers(s): Eric A. Bensky
Respondent(s): Triad Advisors LLC, Kestra Investment Services
Respondent Lawyers(s): Jennifer R. Cox, Lydia R. Zaidman
Arbitrator(s): Maya Steinitz
Hearing Site: Providence, RI
| | |
| 23-01321 | 06/07/2024 | Claimant(s): James Lineweaver
Claimant Lawyers(s): Gerry Kowalski
Respondent(s): Triad Advisors LLC, Sigma Financial Corporation
Respondent Lawyers(s): Amir Tadjedin, Jennifer R. Cox
Arbitrator(s): Tracy L. Allen
Hearing Site: Cleveland, OH
| | |
| 23-02246 | 04/29/2024 | Claimant(s): Darrin Cohen
Claimant Lawyers(s): Brian Luther
Respondent(s): Triad Advisors LLC
Respondent Lawyers(s): Greg Curley
Arbitrator(s): Andy W. Morgan
Hearing Site: Atlanta, GA
| | |
| 23-01535 | 04/24/2024 | Claimant(s): Stephen Ferencik
Claimant Lawyers(s): Michael Kalmus
Respondent(s): Morgan Stanley DW Inc., Triad Advisors LLC, UBS Financial Services Inc.
Respondent Lawyers(s): Brandy Fernandez, Greg Curley, John Murphy
Arbitrator(s): Jeffrey Alperin, Christopher R Carroll, Chanteasea Pyron Swain
Hearing Site: Atlanta, GA
| | |
| 23-01315 | 03/15/2024 | Claimant(s): Michael Sievert
Claimant Lawyers(s): Peter Lindholm
Respondent(s): Arkadios Capital, Triad Advisors LLC
Respondent Lawyers(s): Chet C. Payne, Gregory M. Curley
Arbitrator(s): Leslie L. Cooney
Hearing Site: Jacksonville, FL
| | |
| 23-02226 | 03/11/2024 | Claimant(s): Nancy Littlefield, Stanley Littlefield, Nancy Littlefield IRA, Stanley Littlefield IRA
Claimant Lawyers(s): Matthew Thibaut
Respondent(s): Triad Advisors LLC, Michael Hensley
Respondent Lawyers(s): Zachary Chuey
Arbitrator(s): Daniel F. Piar
Hearing Site: Charlotte, NC
|  | Dismissed by Rule 12206 |
| 23-02285 | 02/12/2024 | Claimant(s): Michael Goodner
Claimant Lawyers(s): Michael Eugene Goodner
Respondent(s): Triad Advisors LLC
Respondent Lawyers(s): Gregory Curley
Arbitrator(s): Karl A. Vogeler
Hearing Site: Nashville, TN
| | |
| 21-01974 | 05/30/2023 | Claimant(s): Betty Sprague, Eric Orkin
Claimant Lawyers(s): Meghan L. McElligott
Respondent(s): Triad Advisors LLC, Lion Street Financial
Respondent Lawyers(s): Gerry Kowalski, Kathy M. Klock
Arbitrator(s): Edward W. Morris, Howard N. Gorney, Sean Michalski
Hearing Site: Manchester, NH
| | Expungement |
