| 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
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| 23-00247 | 07/21/2023 | Claimant(s): Beliveau Bays
Claimant Lawyers(s): Beliveau Bays
Respondent(s): Woodbury Financial Services.
Respondent Lawyers(s): Jennifer R. Cox
Arbitrator(s): Lawrence R. Maxwell
Hearing Site: Dallas, TX
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| 22-02203 | 07/03/2023 | Claimant(s): Brett Weichbrod
Claimant Lawyers(s): Christina Z Vourakis
Respondent(s): Sagepoint Financial.
Respondent Lawyers(s): Jennifer R. Cox
Arbitrator(s): Anita Rae Shapiro
Hearing Site: Los Angeles, CA
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| 22-01980 | 06/26/2023 | Claimant(s): Christopher Dame
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Royal Alliance Associates.
Respondent Lawyers(s): Jennifer R. Cox
Arbitrator(s): Steven Meyrich
Hearing Site: Salt Lake City, UT
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| 22-02695 | 06/09/2023 | Claimant(s): Samuel Clark
Claimant Lawyers(s): Stephan Louviere
Respondent(s): Royal Alliance Associates., Lincoln Financial Advisors Corporation
Respondent Lawyers(s): Dustin J. Tirpak, Jennifer R. Cox
Arbitrator(s): Richard J. Lawrence
Hearing Site: Salt Lake City, UT
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| 22-01878 | 04/26/2023 | Claimant(s): John Jenkins
Claimant Lawyers(s): Samantha Pastor
Respondent(s): SunAmerica Securities., QA3 Financial Corp.
Respondent Lawyers(s): Jennifer R. Cox, Thomas Zielinski
Arbitrator(s): Erik R. Siering
Hearing Site: San Diego, CA
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| 22-00889 | 04/11/2023 | Claimant(s): Mark Napolin, Michael Kiefer
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Royal Alliance Associates.
Respondent Lawyers(s): Jennifer R. Cox
Arbitrator(s): Roger A. Geddes
Hearing Site: Albuquerque, NM
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| 22-02127 | 02/28/2023 | Claimant(s): Woodbury Financial Services.
Claimant Lawyers(s): Jennifer R. Cox
Respondent(s): Timothy Phenecie
Respondent Lawyers(s): Timothy M. Phenecie
Arbitrator(s): Theresa Joan Rosenberg
Hearing Site: Charlotte, NC
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| 22-00755 | 01/26/2023 | Claimant(s): David Brooks
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Securities Service Network
Respondent Lawyers(s): Jennifer R. Cox
Arbitrator(s): Philip J. Glick
Hearing Site: St. Louis, MO
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| 22-00723 | 12/22/2022 | Claimant(s): Julian Marturano
Claimant Lawyers(s): Brian Luther
Respondent(s): Equitable Advisors, Woodbury Financial Services.
Respondent Lawyers(s): Jennifer R. Cox, Michael J. Biondi
Arbitrator(s): Douglas M. Branson
Hearing Site: Pittsburgh, PA
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