| 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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| 23-02993 | 06/13/2024 | Claimant(s): Christopher Bice
Claimant Lawyers(s): Garry T. Stevens
Respondent(s): Sagepoint Financial.
Respondent Lawyers(s): Jennifer R. Cox
Arbitrator(s): Vaughn Norman Browne, Howard Alan Grinsberg, Jonathan Abrams
Hearing Site: New York, NY
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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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| 23-01345 | 05/01/2024 | Claimant(s): Alexander Hackley
Claimant Lawyers(s): Avinoam Rosenfeld
Respondent(s): Woodbury Financial Services.
Respondent Lawyers(s): Jennifer R. Cox
Arbitrator(s): Martin M. Berliner, Leonard M. Goldstein, Adam Michael Porter
Hearing Site: Denver, CO
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| 23-01494 | 04/25/2024 | Claimant(s): Richard Thomas
Claimant Lawyers(s): Alex Padla
Respondent(s): SunAmerica Securities., SII Investments.
Respondent Lawyers(s): Eric A. Michaels, Jennifer R. Cox
Arbitrator(s): Katherine Hendricks
Hearing Site: Portland, OR
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| 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
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| 23-02907 | 04/03/2024 | Claimant(s): Matthew Adrian
Claimant Lawyers(s): Everett Pritchard
Respondent(s): OSAIC Wealth
Respondent Lawyers(s): Jennifer R. Cox
Arbitrator(s): Anita Rae Shapiro
Hearing Site: Denver, CO
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| 23-02832 | 04/02/2024 | Claimant(s): Richard Skelton
Claimant Lawyers(s): Chad Weaver
Respondent(s): Woodbury Financial Services.
Respondent Lawyers(s): Jennifer R. Cox
Arbitrator(s): Michael Harrison
Hearing Site: Los Angeles, CA
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| 23-01956 | 02/21/2024 | Claimant(s): Michael Escobar
Claimant Lawyers(s): James P. Galvin
Respondent(s): Sagepoint Financial.
Respondent Lawyers(s): Jennifer R. Cox
Arbitrator(s): David A. Schuler
Hearing Site: Dallas, TX
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| 23-01786 | 02/05/2024 | Claimant(s): Sean Westbrook
Claimant Lawyers(s): Debra A. Jenks
Respondent(s): FSC Securities Corporation
Respondent Lawyers(s): Jennifer R. Cox
Arbitrator(s): Charles G. Michaels
Hearing Site: Denver, CO
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