| 23-03040 | 04/18/2024 | Claimant(s): Michael Depasquale
Claimant Lawyers(s): James P. Galvin
Respondent(s): M Holdings Securities., Nationwide Securities
Respondent Lawyers(s): Daniela Paez, Jason D. Christian
Arbitrator(s): Annamaria Boccia Smith
Hearing Site: Jersey City, NJ
| | |
| 21-02239 | 10/24/2022 | Claimant(s): Walter Helms
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): M Holdings Securities.
Respondent Lawyers(s): Amir Tadjedin
Arbitrator(s): Mollie Wagner Neal
Hearing Site: Atlanta, GA
| | |
| 19-03605 | 04/21/2022 | Claimant(s): Joseph Cardenas, Machelle Cardenas, Yuma Cardiology Associates
Claimant Lawyers(s): Bradd L Milove
Respondent(s): Ryan Barradas, Kestra Investment Services, M Holdings Securities., WealthPoint, Barradas Family Trust, Kestra Advisory Services, Kestra Financial.
Respondent Lawyers(s): Edwin A. Barkel, Nancy L. Hendrickson
Arbitrator(s): Howard R. Gaines, Maureen Beyers, Jay Lawrence Witkin
Hearing Site: Phoenix, AZ
|  | $0 |
| 20-04111 | 07/07/2021 | Claimant(s): Jason Kurchner
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): M Holdings Securities.
Respondent Lawyers(s): Stephanie Palimino
Arbitrator(s): Kathleen Hoey Gorr
Hearing Site: Albany, NY
| | |
| 21-00039 | 07/07/2021 | Claimant(s): Richard Swider
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): M Holdings Securities.
Respondent Lawyers(s): Casey Dougherty, CCO
Arbitrator(s): Leon Fox
Hearing Site: Milwaukee, WI
| | |
| 20-02183 | 01/22/2021 | Claimant(s): Michael Kentor
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): M Holdings Securities.
Respondent Lawyers(s): Noel Barnes
Arbitrator(s): Thomas A. Martin
Hearing Site: Houston, TX
| | |
| 20-00735 | 12/21/2020 | Claimant(s): Daniel Shannon
Claimant Lawyers(s): Michael A. Gross
Respondent(s): M Holdings Securities.
Respondent Lawyers(s): Amir Tadjedin
Arbitrator(s): Edward R. Niederriter
Hearing Site: Boca Raton, FL
| | |
| 18-02404 | 12/10/2018 | Claimant(s): Robert Jones
Claimant Lawyers(s): Benjamin J. Biard
Respondent(s): M Holdings Securities.
Respondent Lawyers(s): Susan Provencher
Arbitrator(s): Gary M. Landau
Hearing Site: Boca Raton, FL
| | |
| 13-03104 | 10/15/2014 | Claimant(s): PFIS 401-K PSP & Trust
Claimant Lawyers(s): Kristina E. Thomas
Respondent(s): M Holdings Securities.
Respondent Lawyers(s): Timothy P. Griffin
Arbitrator(s): Arthur F. Brueggeman
Hearing Site: Los Angeles, CA
| | $0 |
| 08-03976 | 08/12/2010 | Claimant(s): Ila Mellul
Claimant Lawyers(s): Lawrence Rosen
Respondent(s): David Marcus, M Holdings Securities.
Respondent Lawyers(s): Eric A. Michaels
Arbitrator(s): Carole M. Crosby, James F. Carlson, Daniel Baruch Lidawer
Hearing Site: Chicago, IL
| | Stipulated Award and Expungement |
