| 19-03217 | 08/13/2024 | Claimant(s): Narinder Gupta, Suman Gupta
Claimant Lawyers(s): Narinder Gupta, Suman D. Gupta
Respondent(s): Ameriprise Financial Services, Michael Hannon
Respondent Lawyers(s): Edward A. Walton
Arbitrator(s): Lynne R. Stern, Karen Roberts Washington, Genevieve Anderson
Hearing Site: New Orleans, LA
|  | Expungement |
| 23-02928 | 06/28/2024 | Claimant(s): Darren Oglesby
Claimant Lawyers(s): Brian Luther
Respondent(s): Money Concepts Capital Corp
Respondent Lawyers(s): Kathy M. Klock
Arbitrator(s): Stephen Edgar Eisenbraun
Hearing Site: New Orleans, LA
| | |
| 22-01699 | 06/10/2024 | Claimant(s): The Estate of Margaret Mahaney-Smith
Claimant Lawyers(s): Lars Soreide
Respondent(s): LPL Financial LLC, Frederick Arbusto
Respondent Lawyers(s): John W. Joyce
Arbitrator(s): Jo-Marie Lisa, Lynne M. Gomez, Imre Stephen Szalai
Hearing Site: New Orleans, LA
| | Expungement |
| 23-01665 | 04/25/2024 | Claimant(s): Bradley Grate, David Hamilton, Gary Edwards, Jeffrey Worley, Robert Ertner
Claimant Lawyers(s): Brandon Dei
Respondent(s): Shawn Kinsella, Axos Clearing LLC
Respondent Lawyers(s): Carl S. Burkhalter
Arbitrator(s): Simeon B. Reimonenq
Hearing Site: New Orleans, LA
| | $0 |
| 23-01414 | 04/10/2024 | Claimant(s): Frank Briseno, III
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): FSC Securities Corporation
Respondent Lawyers(s): Jennifer R. Cox
Arbitrator(s): Lynne M. Gomez
Hearing Site: New Orleans, LA
| | |
| 23-01285 | 03/19/2024 | Claimant(s): Joseph Cantrell
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Securian Financial Services.
Respondent Lawyers(s): Beth Wiederholt
Arbitrator(s): David A. Schuler
Hearing Site: New Orleans, LA
| | |
| 23-01062 | 03/13/2024 | Claimant(s): Robert Alvarez
Claimant Lawyers(s): Avinoam Rosenfeld
Respondent(s): International Assets Advisory
Respondent Lawyers(s): Myra P. Nicholson
Arbitrator(s): Dale A. Kaliszeski, Jeffrey Ackermann, Richard William Cryar
Hearing Site: New Orleans, LA
| | |
| 23-01913 | 01/19/2024 | Claimant(s): Michael Dieschbourg
Claimant Lawyers(s): James P. Galvin
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): John Murphy
Arbitrator(s): Lynne M. Gomez
Hearing Site: New Orleans, LA
| | |
| 23-00226 | 01/10/2024 | Claimant(s): Terry Hastings
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Christopher F. Robertson
Arbitrator(s): Allan R. Lazor
Hearing Site: New Orleans, LA
| | |
| 20-04216 | 01/05/2024 | Claimant(s): Kent Bonvillain, Whitney Guidry
Claimant Lawyers(s): Kevin Conway
Respondent(s): Raymond James & Associates.
Respondent Lawyers(s): George C. Freeman
Arbitrator(s): Maryanne M. Esser, Chris W. Surprenant, William John Sommers
Hearing Site: New Orleans, LA
| | $15,000 |
