| 20-02471 | 08/24/2022 | Claimant(s): Matthew Arbo
Claimant Lawyers(s): Robert G. Heim
Respondent(s): ProEquities.
Respondent Lawyers(s): Stephen C. Jackson
Arbitrator(s): Dallas Whitney Coffman, Richard W. Dissen, William Norton
Hearing Site: Augusta, ME
| | |
| 20-02862 | 05/28/2021 | Claimant(s): Brian Peardon
Claimant Lawyers(s): Harris Freedman
Respondent(s): ProEquities.
Respondent Lawyers(s): Kathryn Roe Eldridge
Arbitrator(s): William W. Haskell
Hearing Site: San Francisco, CA
| | |
| 20-01930 | 04/13/2021 | Claimant(s): Ricky Higgins
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): ProEquities.
Respondent Lawyers(s): Kathryn R. Eldridge
Arbitrator(s): Patricia Ann Tracey
Hearing Site: Columbia, SC
| | |
| 15-01834 | 03/25/2016 | Claimant(s): Brenda Woodmansee, Brenda K. Woodmansee IRA
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): Robert Smith, American General Securities Incorporated, Berthel, Fisher & Co Financial Svs., ProEquities.
Respondent Lawyers(s): Greg Curley, Heather R. Demyan, Stephen C. Jackson
Arbitrator(s): Daniel T. Hull, Rachel Kay Russell, Roslyn Barbee
Hearing Site: Birmingham, AL
|  | Dismissed by Rule 12206 |
| 12-01099 | 05/13/2013 | Claimant(s): Jamie Kaufman, Jeffery Jordan
Claimant Lawyers(s): David P. Meyer
Respondent(s): ProEquities.
Respondent Lawyers(s): Melinda L. Peevy
Arbitrator(s): Lisa Shusterman, Christy K. Radigan, Regina F. Burch
Hearing Site: Columbus, OH
| | $0 |
| 08-00251 | 11/04/2008 | Claimant(s): Bernice Follmer, Thomas Follmer
Claimant Lawyers(s): William G. Clelland
Respondent(s): Bradley Freimark, ProEquities., Safe Harbor Retirement Solutions
Respondent Lawyers(s): Gerry Kowalski
Arbitrator(s): Lawrence J. Welte, Kerry C. Koep, Robert S. Burk
Hearing Site: Minneapolis, MN
| | $300 |
| 01-03420 | 10/25/2007 | Claimant(s): Money Concepts Capital Corporation, Money Concepts International.
Claimant Lawyers(s): Jonathan B. Butler
Respondent(s): Mamdoh Abas, ProEquities.
Respondent Lawyers(s): Mark Abas, Peter E. Romo
Arbitrator(s): Howard A. Emirhanian, Herbert Murez, Robert Bruce MacDonald
Hearing Site: Los Angeles, CA
| | |
| 06-04315 | 09/19/2007 | Claimant(s): John Knaub, Lonita Knaub
Claimant Lawyers(s): Philip J. Snyderburn
Respondent(s): ProEquities.
Respondent Lawyers(s): Katherine C. Donlon
Arbitrator(s): David M. Snyder, Darryl C. Wilson, Robert Giffen Collins
Hearing Site: Tampa, FL
| | $300 |
