| 23-02829 | 08/06/2024 | Claimant(s): Augustine Choi
Claimant Lawyers(s): Peter Lindholm
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard Klausmeier
Arbitrator(s): Thomas R. Watkins
Hearing Site: Los Angeles, CA
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| 22-02620 | 08/06/2024 | Claimant(s): Patrick Roth
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Jay Alan Kranis, Regina Waynes Joseph, Bertha Maria Rodriguez
Hearing Site: Jersey City, NJ
|  | Expungement |
| 23-02925 | 08/06/2024 | Claimant(s): Lawrence Napolitano
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Kalos Capital., Parkland Securities
Respondent Lawyers(s): Amir Tadjedin, Carol Wildermuth
Arbitrator(s): Mark R. Lee
Hearing Site: Las Vegas, NV
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| 23-01453 | 08/06/2024 | Claimant(s): Jeffery Sorensen
Claimant Lawyers(s): Peter Lindholm
Respondent(s): Triad Advisors LLC
Respondent Lawyers(s): Jennifer R. Cox
Arbitrator(s): Erik R. Siering
Hearing Site: Los Angeles, CA
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| 24-00041 | 08/05/2024 | Claimant(s): Andrew Schelitzche
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Frederick Ramos
Hearing Site: Minneapolis, MN
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| 24-00279 | 08/05/2024 | Claimant(s): Robert Snider
Claimant Lawyers(s): Robert Roy Snider
Respondent(s): MML Investors Services
Respondent Lawyers(s): Julie E. Ravis
Arbitrator(s): Steven N. Ainbinder, Robert Dean McKinley, Eric Ross Cromartie
Hearing Site: Charleston, WV
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| 23-02934 | 08/05/2024 | Claimant(s): Kurt Cambier
Claimant Lawyers(s): Tosh Grebenik
Respondent(s): Cambridge Investment Research.
Respondent Lawyers(s): Kristina J. Branstetter
Arbitrator(s): Steve A. Miller, Ronald G. Guida, Lynn Hirschfeld Brahin
Hearing Site: Denver, CO
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| 23-02909 | 08/05/2024 | Claimant(s): Keith Wood
Claimant Lawyers(s): Harris Freedman
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Jeffery D. Rodgers
Arbitrator(s): Christopher J. Klein
Hearing Site: Orlando, FL
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| 22-02966 | 08/05/2024 | Claimant(s): Estate of John Roth Admin. Tatiana Roth
Claimant Lawyers(s): Scott L. Silver
Respondent(s): Dalmore Group LLC
Respondent Lawyers(s): Alan M. Wolper
Arbitrator(s): Christine R. Fitzgerald, Frank Sanclemente, John George Neylon
Hearing Site: Manchester, NH
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| 23-02926 | 08/05/2024 | Claimant(s): Gregory Richards
Claimant Lawyers(s): Daniel D'Costa
Respondent(s): Benchmark Investments, Centaurus Financial., Questar Capital Corporation
Respondent Lawyers(s): Jared Merlin, Katherine C. Donlon, Michael J. Carey
Arbitrator(s): Barbara M. Zak, William B. Morgan, Jeremy Kent Holmes
Hearing Site: Phoenix, AZ
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