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
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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
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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
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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
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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
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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
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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
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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 |