| 18-02754 | 03/28/2019 | Claimant(s): Mickey Owen
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): HD Vest Investment Services
Respondent Lawyers(s): Eric J. Chartan
Arbitrator(s): Michael J. Ahlstrom
Hearing Site: Nashville, TN
| | |
| 18-02976 | 03/08/2019 | Claimant(s): Betty Byassee
Claimant Lawyers(s): Betty H. Byassee
Respondent(s): Edward Jones, Rick Robertson
Respondent Lawyers(s): Paul A. Yarns
Arbitrator(s): Muriel Desloovere
Hearing Site: Nashville, TN
|  | $4,522 |
| 18-00831 | 02/25/2019 | Claimant(s): Simon Halapir
Claimant Lawyers(s): Simon Halapir
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Noah D. Sorkin
Arbitrator(s): D. Bruce Shine
Hearing Site: Nashville, TN
| | $0 |
| 17-00078 | 02/08/2019 | Claimant(s): Sam Freeland
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Niels P. Murphy
Arbitrator(s): Gregory D. Hoffmann, A. Ronald Tonks, Irwin Venick
Hearing Site: Nashville, TN
| | $15,000 |
| 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 |
| 17-00554 | 12/11/2018 | Claimant(s): Muhammad Munir, Uzma Munir, Muhammad Munir SEP IRA, Muhammad and Uzma Munir
Claimant Lawyers(s): Gary S. Menzer
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Michael P. Gilmore
Arbitrator(s): Lita S Menkin, Jack A. Helms, John Winslow Griesser
Hearing Site: Nashville, TN
| | Expungement |
| 18-00521 | 11/01/2018 | Claimant(s): Lauren Oschman
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Larson Financial Securities
Respondent Lawyers(s): Steven Cervantes
Arbitrator(s): Mauricio Arcadier
Hearing Site: Nashville, TN
| | |
| 18-00376 | 10/16/2018 | Claimant(s): Marsha Neuenschwander
Claimant Lawyers(s): Marsha M. Neuenschwander
Respondent(s): Elsa Cazares, James Neuenschwander, Michael Neuenschwander
Respondent Lawyers(s): Robert E. Menje
Arbitrator(s): Robert H. Putnam, Michael J. Ahlstrom, Coleman Robert Perry
Hearing Site: Nashville, TN
| | $0 |
| 17-02326 | 06/29/2018 | Claimant(s): Brian Rix
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Centennial Securities Company.
Respondent Lawyers(s): Melvin G. Moseley
Arbitrator(s): Sarah J. Nordlund, Robert Lane Arrington, Patrick K. Gregorius
Hearing Site: Nashville, TN
| | Expungement |
| 16-03033 | 06/19/2018 | Claimant(s): Jeffrey Lubore, Jill Lubore, Lawson, Long & Evans LP
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Andrew Gelfand
Arbitrator(s): Langfred W. White, Mimi B. Osiason, Theodore Haynes
Hearing Site: Nashville, TN
| | Expungement |
