| 22-01576 | 02/09/2023 | Claimant(s): William Crull
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): A. G. Edwards & Sons., FSC Securities Corporation
Respondent Lawyers(s): Deirdre Wolff, Justin Sacca
Arbitrator(s): Simeon B. Reimonenq
Hearing Site: New Orleans, LA
| | |
| 22-00017 | 10/26/2022 | Claimant(s): Todd Gautreaux
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Matthew T. Bohenek
Arbitrator(s): Karen Roberts Washington
Hearing Site: New Orleans, LA
| | |
| 21-02076 | 10/14/2022 | Claimant(s): Patti Plunkett, individually, The Estate of John E. Plunkett, IRA Account of John E. Plunkett, John E. Plunkett & Maureen Y. Plunkett
Claimant Lawyers(s): Kalju Nekvasil
Respondent(s): Money Concepts Capital Corp
Respondent Lawyers(s): Kathy M. Klock
Arbitrator(s): Onnig Hatchig Dombalagian, Ralph Hamilton Schofield, Valerie Wilkins Blunt
Hearing Site: New Orleans, LA
|  | Expungement |
| 22-00836 | 09/28/2022 | Claimant(s): Aspiration Financial LLC
Claimant Lawyers(s): Andrew J. Melnick
Respondent(s): Jaylen Eugene
Respondent Lawyers(s): Jaylen Eugene
Arbitrator(s): Robert H. Putnam
Hearing Site: New Orleans, LA
| | $0 |
| 21-01193 | 09/28/2022 | Claimant(s): Justin Fraser
Claimant Lawyers(s): David Harrison
Respondent(s): Interactive Brokers LLC
Respondent Lawyers(s): Carlos E. Provencio
Arbitrator(s): Lawrence R. Maxwell, Jeffrey Ackermann, Deborah Johns Tatum
Hearing Site: New Orleans, LA
| | $452,817 |
| 21-02716 | 07/20/2022 | Claimant(s): Keith Fontenot
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Valerie Holder
Arbitrator(s): Simeon B. Reimonenq
Hearing Site: New Orleans, LA
| | |
| 21-02827 | 06/28/2022 | Claimant(s): Daniel Abraham
Claimant Lawyers(s): Stephan Louviere
Respondent(s): VALIC Financial Advisors.
Respondent Lawyers(s): Michael S. Cargnel
Arbitrator(s): Robert J. Gregory
Hearing Site: New Orleans, LA
| | |
| 20-03780 | 06/22/2022 | Claimant(s): Lee White
Claimant Lawyers(s): Lee White
Respondent(s): Robinhood Financial., Robinhood Securities
Respondent Lawyers(s): Jonathan J. Brennan
Arbitrator(s): David A. Schuler
Hearing Site: New Orleans, LA
| | $0 |
| 20-04077 | 06/22/2022 | Claimant(s): Jacques Soileau, Jennifer Plauche Soileau, Nexgen Investments
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Rebecca K. Lindahl
Arbitrator(s): Barbara L. Edin, Donald Cole Massey, Linda Genevieve Bizzarro
Hearing Site: New Orleans, LA
| | $975,606 |
| 20-00384 | 05/31/2022 | Claimant(s): Paul Rankin
Claimant Lawyers(s): W. Lee Gresham
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Carole G. Miller
Arbitrator(s): David A. Schuler, Edward David Sonnier, Nadine Michele Ramsey
Hearing Site: New Orleans, LA
| | |
