| 23-02904 | 06/07/2024 | Claimant(s): Roberto Costa
Claimant Lawyers(s): Stephan Louviere
Respondent(s): Equitable Advisors
Respondent Lawyers(s): Kalie M. Maniglia
Arbitrator(s): Richard S. Zaifert
Hearing Site: Jacksonville, FL
| | |
| 23-01321 | 06/07/2024 | Claimant(s): James Lineweaver
Claimant Lawyers(s): Gerry Kowalski
Respondent(s): Triad Advisors LLC, Sigma Financial Corporation
Respondent Lawyers(s): Amir Tadjedin, Jennifer R. Cox
Arbitrator(s): Tracy L. Allen
Hearing Site: Cleveland, OH
| | |
| 23-02771 | 06/07/2024 | Claimant(s): Kent Fitzpatrick
Claimant Lawyers(s): Brian Luther
Respondent(s): NFP Securities.
Respondent Lawyers(s): Lydia R. Zaidman
Arbitrator(s): Stephen James McLaughlin
Hearing Site: Boston, MA
| | |
| 22-02737 | 06/06/2024 | Claimant(s): Rosenau Family Research Foundation
Claimant Lawyers(s): Donald R. McNeil
Respondent(s): Principal Securities.
Respondent Lawyers(s): Kathryn Roe Eldridge
Arbitrator(s): Jeffrey W. Jacobs, Leo G. Stern, Joseph Darwin Kenyon
Hearing Site: Minneapolis, MN
|  | $7,342,000 |
| 23-02856 | 06/05/2024 | Claimant(s): Gary Borowiec
Claimant Lawyers(s): Alex Padla
Respondent(s): 1717 Capital Management Company
Respondent Lawyers(s): Daniela Paez
Arbitrator(s): Alice E. Winkler
Hearing Site: Jersey City, NJ
| | |
| 23-01396 | 06/05/2024 | Claimant(s): Charles L. Roberts Trust
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Seth L. Finkel
Hearing Site: Boca Raton, FL
| | Expungement |
| 23-00946 | 06/04/2024 | Claimant(s): Jasmin Gentling, Peter Gentling
Claimant Lawyers(s): John B Veach
Respondent(s): John Wolf, Cornerstone Financial Planning
Respondent Lawyers(s): Elizabeth L. Winters
Arbitrator(s): Richard H. Potter, Charles L.A. Terreni, Silvia Maria Rossbach Rheinbolt
Hearing Site: Charlotte, NC
| | $613,825 |
| 23-00477 | 06/04/2024 | Claimant(s): Nathan Plumb
Claimant Lawyers(s): Jonathan W. Hackbarth
Respondent(s): Betty Custer, James Custer
Respondent Lawyers(s): Lester A. Pines
Arbitrator(s): David J. Hase, Michael S. Jordan, Matthew Fisher
Hearing Site: Milwaukee, WI
| | |
| 23-02866 | 06/04/2024 | Claimant(s): Paul Nitz
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Avantax Investment Services.
Respondent Lawyers(s): Judith Knudsen
Arbitrator(s): Lynne M. Gomez
Hearing Site: Houston, TX
| | |
| 23-02971 | 06/04/2024 | Claimant(s): Bryan Knudson
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard Klausmeier
Arbitrator(s): Phyllis Karasov
Hearing Site: Des Moines, IA
| | |
