| 21-03066 | 08/18/2022 | Claimant(s): FSC Securities Corporation
Claimant Lawyers(s): Gregory M. Curley
Respondent(s): Roger Bedillion
Respondent Lawyers(s): Michael J. Betts
Arbitrator(s): Barry Goldman, Peter Glasser, Mark A. Sipper
Hearing Site: Pittsburgh, PA
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| 20-03079 | 08/17/2022 | Claimant(s): Andrew Hughes
Claimant Lawyers(s): Sean M. Sweeney
Respondent(s): Thrivent Investment Management Inc.
Respondent Lawyers(s): Lindsay Wuller Aggarwal
Arbitrator(s): Susanne J. Hollander, Charles Kahn, Jennifer Bruzas
Hearing Site: Milwaukee, WI
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| 22-00054 | 08/17/2022 | Claimant(s): Robert Rotunno
Claimant Lawyers(s): Christopher D. Warren
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Emily A. Hayes
Arbitrator(s): Seth T. Taube, Evdokia Sofos, Ellyn S. Roth
Hearing Site: New York, NY
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| 19-03331 | 08/16/2022 | Claimant(s): Josh Oliver
Claimant Lawyers(s): David Dobin
Respondent(s): Key Investment Services LLC
Respondent Lawyers(s): Jeffrey S. Dunlap
Arbitrator(s): Diane Ciccone, Marissa A. Santangelo, Paul Smith Besson
Hearing Site: Hartford, CT
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| 22-00063 | 08/16/2022 | Claimant(s): Steven Laporta
Claimant Lawyers(s): Brian Luther
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): W. Preston Martin
Arbitrator(s): Lawrence W. Arness
Hearing Site: Chicago, IL
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| 22-00910 | 08/16/2022 | Claimant(s): IFS Liquidation Trust
Claimant Lawyers(s): Richard E. Brodsky
Respondent(s): Keith Wakefield
Respondent Lawyers(s): Keith Wakefield
Arbitrator(s): James F. Carlson
Hearing Site: Chicago, IL
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| 19-03616 | 08/15/2022 | Claimant(s): Janet Benloss-Kelly
Claimant Lawyers(s): W D Masterson
Respondent(s): PFS Investments Inc.
Respondent Lawyers(s): Cheryl L. Haas
Arbitrator(s): Lita S Menkin, Lane R. Frostbaum, Julieta L Smith
Hearing Site: Atlanta, GA
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| 21-02813 | 08/15/2022 | Claimant(s): Shawn Longley
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): A. G. Edwards & Sons., Wells Fargo Clearing Services
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Michael F. Jordan
Hearing Site: Milwaukee, WI
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| 22-00265 | 08/12/2022 | Claimant(s): Michael Achatz
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Christopher F. Robertson
Arbitrator(s): Douglas Earl McLaren
Hearing Site: Baltimore, MD
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| 20-02025 | 08/11/2022 | Claimant(s): Elena Izak
Claimant Lawyers(s): Wilmer D. Masterson
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Marsha A. Washkuhn
Arbitrator(s): Lawrence R. Maxwell, Franklin Lewis Broyles, Ross B. Russell
Hearing Site: Dallas, TX
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