| 22-00284 | 12/13/2022 | Claimant(s): Gerhard Heuer
Claimant Lawyers(s): Avinoam Rosenfeld
Respondent(s): Independent Financial Group., Thrivent Investment Management Inc.
Respondent Lawyers(s): Sarah J. Kreisman, Shannon M. Wheaton
Arbitrator(s): Joseph L. Mangan, David William Hickman, Eric A LaBrant
Hearing Site: Portland, OR
| | |
| 22-00796 | 12/13/2022 | Claimant(s): Daniel Muskat
Claimant Lawyers(s): Stephan Louviere
Respondent(s): NYLife Securities LLC, MML Investors Services
Respondent Lawyers(s): Christopher J. Murdoch, Julie E. Ravis
Arbitrator(s): Edward W. Morris
Hearing Site: Manchester, NH
| | |
| 22-01643 | 12/13/2022 | Claimant(s): Gerald Casey
Claimant Lawyers(s): Gerald Joseph Casey
Respondent(s): Academy Securities.
Respondent Lawyers(s): Michael Boyd
Arbitrator(s): Jeanne M. Keefe
Hearing Site: New York, NY
| | |
| 22-01045 | 12/12/2022 | Claimant(s): Robert Sorensen
Claimant Lawyers(s): Brian Luther
Respondent(s): Allstate Financial Services
Respondent Lawyers(s): Jennifer E. Novoselsky
Arbitrator(s): William Michael Samsel
Hearing Site: Reno, NV
| | |
| 22-01542 | 12/12/2022 | Claimant(s): Yusuf Hai
Claimant Lawyers(s): Yusuf Abdul Hai
Respondent(s): Kenneth Chaput, Osman Minkara, CIG Capital Advisors Inc., CIG Securities
Respondent Lawyers(s): James V. Garvey
Arbitrator(s): Gail K. Barski-McCracken
Hearing Site: Detroit, MI
| | |
| 21-02380 | 12/12/2022 | Claimant(s): Henry Wilken, Henry J. Wilken Jr Revocable Trust U/A
Claimant Lawyers(s): Philip J. Snyderburn
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Gina Shlaferman
Arbitrator(s): Cindy L. Anderson, Richard Merritt Langway, Christy Lyn Foley
Hearing Site: Orlando, FL
|  | Expungement |
| 19-01392 | 12/12/2022 | Claimant(s): Jeffrey Cohen
Claimant Lawyers(s): David A. Schrader
Respondent(s): Wells Fargo Advisors Financial Network, Philip Pappas, Steven Dichter
Respondent Lawyers(s): Nuviah Shirazi
Arbitrator(s): Annamaria Boccia Smith, John Herbert Grefe, John Warner Lowe
Hearing Site: New York, NY
| | $0 |
| 21-01477 | 12/12/2022 | Claimant(s): Estate of Anita Mankowski
Claimant Lawyers(s): Maria L. Kreiter
Respondent(s): Morgan Stanley, Richard Behrendt
Respondent Lawyers(s): Jeremy S. Winer
Arbitrator(s): Leon Fox, Susanne J. Hollander, Raymond P. Buschmann
Hearing Site: Milwaukee, WI
| | $0 |
| 21-02186 | 12/12/2022 | Claimant(s): Ronald Gagnon
Claimant Lawyers(s): Robert Kerrigan
Respondent(s): Worden Capital Management LLC, Jamie Worden, Michael Rosalia
Respondent Lawyers(s): Bruce Lewitas, Jamie John Worden, Michael Richard Rosalia
Arbitrator(s): LaVon C. Phillips, Grant D. Sanders, Frank Edward Hermann
Hearing Site: Minneapolis, MN
| | $130,000 |
| 20-02029 | 12/09/2022 | Claimant(s): Shannon Zoller
Claimant Lawyers(s): Linda D Friedman
Respondent(s): Daniel Veatch, Jonathan Jameson, Reidan Cruz, Robert Hofeditz, GCA Advisors
Respondent Lawyers(s): Diane M. Doolittle
Arbitrator(s): David H. S. Commins, Alden Sharp Adkins, Thomas Arthur Cohen
Hearing Site: San Francisco, CA
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