22-02915 | 08/11/2023 | Claimant(s): Joshua Lercher Claimant Lawyers(s): Chelsea Bauer Respondent(s): Citigroup Global Markets. Respondent Lawyers(s): Adam Kauff Arbitrator(s): Susan C Lushing Hearing Site: New York, NY
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18-02917 | 08/11/2023 | Claimant(s): Bill Nguyen Claimant Lawyers(s): W. Andrew Clayton Respondent(s): TD Ameritrade., Nguyen Capital Partners Respondent Lawyers(s): Neil S. Baritz, W. Andrew Clayton Arbitrator(s): Langfred W. White, Darryl C. Wilson, Gayle B. Carlson Hearing Site: Tampa, FL
| | $1,207,550 |
12-02144 | 08/11/2023 | Claimant(s): John Dietz, Luis Pernia, Estate of William V. Johnson, Bocagrande Trust, Pienza Trust, dissolved Pernia Family Trust Claimant Lawyers(s): Victor J. Pioli Respondent(s): Loria Financial Group, MPS-Loria Financial Planners, RIM Securities LLC, Rochdale Investment Management, Rochdale Offshore Management Respondent Lawyers(s): Jose A. Lopez, Nicholas P. Iavarone, Ronald P. Kane Arbitrator(s): Michael S. Matek, Susan L. Walker, Yana Karnaukhov Hearing Site: Chicago, IL
| | $0 |
23-00736 | 08/10/2023 | Claimant(s): Gary Sanson Claimant Lawyers(s): David I. Hantman Respondent(s): Cambridge Investment Research., Voya Financial Advisors. Respondent Lawyers(s): Denis C. Dice, Jeanette E. Dennis Arbitrator(s): Louis P. Wagman Hearing Site: Philadelphia, PA
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22-02086 | 08/10/2023 | Claimant(s): Ryan Jensen Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Equity Services. Respondent Lawyers(s): Derek C. Anderson Arbitrator(s): Stephany Adriene Watson Hearing Site: Portland, OR
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19-02577 | 08/10/2023 | Claimant(s): K&S Trust Claimant Lawyers(s): Gary Menzer Respondent(s): Daniel Lempe, Presidential Brokerage. Respondent Lawyers(s): Gary Nemer, Scott Holcomb Arbitrator(s): Charles G. Michaels, Mary C. Davis, Nicole Green Hearing Site: Denver, CO
| | $0 |
22-02082 | 08/10/2023 | Claimant(s): David Prewette Claimant Lawyers(s): Dochtor Kennedy Respondent(s): SA Stone Wealth Management Inc. Respondent Lawyers(s): Andrew R. Chambless Arbitrator(s): Barbara Black Hearing Site: Atlanta, GA
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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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18-04171 | 08/09/2023 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc. Claimant Lawyers(s): Edward J. Heffernan Respondent(s): Michael Gloster Respondent Lawyers(s): Mark L. Kowalsky Arbitrator(s): Felicia Gail Harris, Gail K. Barski-McCracken, William Napoleone Hearing Site: Detroit, MI
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23-00133 | 08/08/2023 | Claimant(s): Scott Scherer Claimant Lawyers(s): Samantha Pastor Respondent(s): Preferred Capital Securities Respondent Lawyers(s): Orit Small Arbitrator(s): Philip Aaron Tymon Hearing Site: San Francisco, CA
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