| 23-01090 | 04/11/2024 | Claimant(s): Barry Kiront
Claimant Lawyers(s): John Stewart
Respondent(s): Monroe Parker Securities., Woodstock Financial Group.
Respondent Lawyers(s): Alan Lipsky, William J. Raike
Arbitrator(s): Veronica Ann Williams
Hearing Site: New York, NY
| | |
| 23-01349 | 04/11/2024 | Claimant(s): Peter Armstrong
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Advisors Asset Management.
Respondent Lawyers(s): Kevin B. Walker
Arbitrator(s): Jim Geiger
Hearing Site: Columbus, OH
| | |
| 23-02772 | 04/11/2024 | Claimant(s): Inderpal Anand
Claimant Lawyers(s): James P. Galvin
Respondent(s): Ameriprise Financial Services
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Howard L. Sobel
Hearing Site: New York, NY
| | |
| 23-01414 | 04/10/2024 | Claimant(s): Frank Briseno, III
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): FSC Securities Corporation
Respondent Lawyers(s): Jennifer R. Cox
Arbitrator(s): Lynne M. Gomez
Hearing Site: New Orleans, LA
| | |
| 23-01375 | 04/10/2024 | Claimant(s): Michael Gregory
Claimant Lawyers(s): Michael Gregory
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Peter S. Fruin
Arbitrator(s): Lynn Hirschfeld Brahin
Hearing Site: St. Louis, MO
|  | $0 |
| 21-01762 | 04/10/2024 | Claimant(s): Melvin Menke
Claimant Lawyers(s): Bradley D. Schnur
Respondent(s): Richard Coleman, William Brown, Richard James & Associates.
Respondent Lawyers(s): Frank Barravechia, Richard James Coleman, William Robert Brown
Arbitrator(s): Julius Z. Frager
Hearing Site: Louisville, KY
| | Dismissed by Rule 12511&12212© |
| 23-02992 | 04/10/2024 | Claimant(s): Douglas Breitenbach
Claimant Lawyers(s): Michael Davis Hoenig
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Laura A. Pizzitola
Arbitrator(s): Michael L. Fortney
Hearing Site: Cleveland, OH
| | |
| 23-01289 | 04/10/2024 | Claimant(s): David Hancock
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): NYLife Securities LLC
Respondent Lawyers(s): Christopher J. Murdoch
Arbitrator(s): Lita S. Menkin
Hearing Site: Birmingham, AL
| | |
| 23-00446 | 04/10/2024 | Claimant(s): Michael Nolan
Claimant Lawyers(s): Todd Gutfleisch
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Kevin B. Leblang
Arbitrator(s): Edward Turner Borer, Paul J. Leis, Peter George Erdely
Hearing Site: Philadelphia, PA
| | |
| 22-01942 | 04/09/2024 | Claimant(s): John Enderle, Marguerite Enderle, Nicholas Salerno
Claimant Lawyers(s): Joshua Kons
Respondent(s): Michael Dworetsky, Ages Financial Services, Ltd.
Respondent Lawyers(s): Kirsten Patzer
Arbitrator(s): Steven R. Rolnick, John J. Mager, Patrick Leo Kennedy
Hearing Site: Hartford, CT
| | Dismissed by Rule 12206 |
