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
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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
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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
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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
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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
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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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