23-02874 | 05/24/2024 | Claimant(s): Ronald Hoyle Claimant Lawyers(s): Peter Lindholm Respondent(s): Grove Point Investments, J.W. Cole Financial. Respondent Lawyers(s): Gregg J. Breitbart, Matt Winterhalter Arbitrator(s): Steven H. Vogel Hearing Site: Chicago, IL
| | |
22-00120 | 11/16/2023 | Claimant(s): Shirley Karcher, The Amended and Restated Trust Agreement, The Edbert A. Karcher Irrevocable Mari Claimant Lawyers(s): Ashlie Case Sletvold Respondent(s): J.W. Cole Financial. Respondent Lawyers(s): Brian P. Nally Arbitrator(s): Gary B. Deutsch, David Minc, David N Brown Hearing Site: Cleveland, OH
| | $135,000 |
23-00670 | 10/30/2023 | Claimant(s): Dianne Odom Claimant Lawyers(s): Avinoam Rosenfeld Respondent(s): Woodbury Financial Services., J.W. Cole Financial., Transamerica Financial Advisors Respondent Lawyers(s): Gregg J. Breitbart, Jennifer R. Cox, Susan D. Duff Arbitrator(s): David M. Snyder, Nathan Jon Larson, Bryant Ashley Scriven Hearing Site: Tampa, FL
| | |
22-01896 | 08/10/2023 | Claimant(s): Terry Anderson Claimant Lawyers(s): Avinoam Rosenfeld Respondent(s): Securities America., First Allied Securities., Capwest Securities., International Assets Advisory, J.W. Cole Financial., QA3 Financial Corp. Respondent Lawyers(s): Dale K. Hall, Emily M. Knight, Jennifer R. Cox, Jeremy Wooden, Myra P. Nicholson, Stephen K. Wild Arbitrator(s): Steven Meyrich, Leonard M. Goldstein, Aaron J. Haley Hearing Site: Denver, CO
| | |
10-05247 | 06/02/2014 | Claimant(s): Thomas Campbell Claimant Lawyers(s): Vincent Imbesi Respondent(s): J.W. Cole Financial. Respondent Lawyers(s): Alan M. Wolper Arbitrator(s): Robert J. Scafuri, Stuart Sinai, Mauricio Kohn Hearing Site: Detroit, MI
| | |
05-06249 | 03/09/2009 | Claimant(s): Kathy Turner, Estate of Olivia Frase Claimant Lawyers(s): Kathy Turner Respondent(s): John Carlson, John Turner, R. Wood, J.W. Cole Financial., Jonathan Roberts Financial Group. Respondent Lawyers(s): Clifford J. Hunt, Norman B. Arnoff Arbitrator(s): Sarah G. Anderson, William H. Malloy, Robert A. Ames Hearing Site: Charlotte, NC
| | Expungement |