| 23-02749 | 09/17/2024 | Claimant(s): James Simmons
Claimant Lawyers(s): Harris Freedman
Respondent(s): FSC Securities Corporation, Brookstreet Securities Corporation, National Planning Corporation
Respondent Lawyers(s): Eric A. Michaels, Jennifer R. Cox, Julie Mains
Arbitrator(s): Michael Harrison
Hearing Site: Los Angeles, CA
| | |
| 23-01770 | 09/16/2024 | Claimant(s): Anne Connell-Freund
Claimant Lawyers(s): Jason T. Albin
Respondent(s): Derek Crihfield, Ameriprise Financial Services
Respondent Lawyers(s): Edward A. Walton
Arbitrator(s): Lynn Hirschfeld Brahin, Robert M Lustig, Adeladi Williams
Hearing Site: Cleveland, OH
|  | $0 |
| 24-00176 | 09/13/2024 | Claimant(s): Securities America.
Claimant Lawyers(s): Gregory M. Curley
Respondent(s): Jeremy Belfiore
Respondent Lawyers(s): Clinton W. Marrs
Arbitrator(s): Richard Marc Weinroth, Glenn Allen Baker, Patrick Irvine
Hearing Site: Phoenix, AZ
| | |
| 24-01274 | 09/13/2024 | Claimant(s): Stifel, Nicolaus & Co..
Claimant Lawyers(s): Alan S. Brodherson
Respondent(s): Joseph Monaco
Respondent Lawyers(s): Joseph Anthony Monaco
Arbitrator(s): Bryan Lane Berson
Hearing Site: New York, NY
| | |
| 23-02519 | 09/13/2024 | Claimant(s): William Harrison
Claimant Lawyers(s): William H. Harrison
Respondent(s): Lightspeed Financial Services Group LLC
Respondent Lawyers(s): James L. Kopecky
Arbitrator(s): Eric R. Benton
Hearing Site: Houston, TX
| | $0 |
| 23-02490 | 09/13/2024 | Claimant(s): Jeffrey McDonald
Claimant Lawyers(s): Craig A. Riha
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam M. Kauff
Arbitrator(s): Jerrold E. Slutzky, Kenneth R. Starr, Carolyn E. Moore
Hearing Site: Tampa, FL
| | |
| 23-00587 | 09/13/2024 | Claimant(s): Carol Parks
Claimant Lawyers(s): Jason Doss
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Gordon M. Wase, Armand Philip Lione, Julius P. Terrell
Hearing Site: Washington, DC
| | Expungement |
| 23-02893 | 09/13/2024 | Claimant(s): Howard Hsieh
Claimant Lawyers(s): Christina Vourakis
Respondent(s): Cetera Investment Services.
Respondent Lawyers(s): Jeremy Carr
Arbitrator(s): Robert D. Sussin
Hearing Site: Los Angeles, CA
| | |
| 23-03347 | 09/12/2024 | Claimant(s): Natasha Jahn
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): CUNA Brokerage Services.
Respondent Lawyers(s): Sandra D. Grannum
Arbitrator(s): Philip Alan Johnson
Hearing Site: Seattle, WA
| | |
| 24-00056 | 09/12/2024 | Claimant(s): Ronnie Lee Rozier
Claimant Lawyers(s): Ronnie L. Rozier
Respondent(s): Aubrey Parker, Wells Fargo Clearing Services, Rick Kent
Respondent Lawyers(s): Deirdre C. Wolff, Luis F. Mendez
Arbitrator(s): Robert H. Putnam, Andy W. Morgan, Sherri Lynne Kimmell
Hearing Site: Atlanta, GA
| | Dismissed by Rule 12504 and 12206 |
