22-01842 | 07/30/2024 | Claimant(s): Randy Dean Claimant Lawyers(s): Randy K. Dean Respondent(s): Kelly Gillikin Respondent Lawyers(s): Neil S. Baritz Arbitrator(s): Tracy L. Allen, Scott C. Matasar, Tim Warner Hearing Site: Cleveland, OH
| | Expungement |
23-02873 | 06/21/2024 | Claimant(s): Louis Wargo Claimant Lawyers(s): Jack D. Butler Respondent(s): Equitable Advisors, FSC Securities Corporation Respondent Lawyers(s): Jennifer R. Cox, Kevin W. Brooks Arbitrator(s): Tracy L. Allen, David Arnold, Michael Alan Ellis Hearing Site: Cleveland, OH
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23-02366 | 06/18/2024 | Claimant(s): Jason Zoch Claimant Lawyers(s): Angela A. Turiano Respondent(s): Morgan Stanley Respondent Lawyers(s): Amanda Parisi Arbitrator(s): Tracy L. Allen, Susan L. Walker, Kevin P. Feerick Hearing Site: Indianapolis, IN
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23-03015 | 06/18/2024 | Claimant(s): Thomas Scheiman Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Independence Capital Co.. Respondent Lawyers(s): Dennis C. Twarogowski Arbitrator(s): Tracy L. Allen Hearing Site: Cleveland, OH
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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
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23-01304 | 05/20/2024 | Claimant(s): Frank Snyder Claimant Lawyers(s): Chelsea Bauer Respondent(s): Transamerica Financial Advisors Respondent Lawyers(s): Susan D. Duff Arbitrator(s): Tracy L. Allen Hearing Site: St. Louis, MO
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23-01430 | 02/14/2024 | Claimant(s): Robert Huser Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Prudential Equity Group Respondent Lawyers(s): Jennifer E. Novoselsky Arbitrator(s): Tracy L. Allen Hearing Site: Indianapolis, IN
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22-00801 | 01/30/2024 | Claimant(s): Annella Dixon Claimant Lawyers(s): Bradford M. Gucciardo Respondent(s): Edward Jones Respondent Lawyers(s): Jonathan W. Hackbarth Arbitrator(s): Tracy L. Allen, Gary P. Price, F. Bradford Johnson Hearing Site: Indianapolis, IN
| | $0 |
22-01894 | 01/16/2024 | Claimant(s): Western International Securities. Claimant Lawyers(s): Eric A. Michaels Respondent(s): Amar Toma Respondent Lawyers(s): Amar Toma Arbitrator(s): Tracy L. Allen, Carl E. Ver Beek, Richard Edward Rassel Hearing Site: Detroit, MI
| | $353,717 |
23-01125 | 12/26/2023 | Claimant(s): Sahand Elmtalab Claimant Lawyers(s): Michael E. Rowe Respondent(s): Mml Investors Services, Llc, Northwestern Mutual Investment Services, Respondent Lawyers(s): Clarke C. Greene, Jullie E. Ravis Arbitrator(s): Tracy L. Allen Hearing Site: Minneapolis, MN
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