| 24-00692 | 11/27/2024 | Claimant(s): Marie Mangin
Claimant Lawyers(s): John Mangin
Respondent(s): OneAmerica Securities.
Respondent Lawyers(s): Kathryn Roe Eldridge
Arbitrator(s): Joyce A. Mitchell, Nalini Iyer, Joel Miller
Hearing Site: Washington, DC
|  | Dismissed by Rule 12206 |
| 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 |
| 23-01017 | 11/29/2023 | Claimant(s): Deanne Schlarbaum
Claimant Lawyers(s): Darwin Bunger
Respondent(s): Principal Securities.
Respondent Lawyers(s): Kathryn Roe Eldridge
Arbitrator(s): Mark A. Frankel
Hearing Site: Des Moines, IA
| | $0 |
| 22-01148 | 06/20/2023 | Claimant(s): David Wilson, Donna Wilson
Claimant Lawyers(s): Scott L Silver
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Kathryn Roe Eldridge
Arbitrator(s): Tyrone Nathaniel Watson, Christina Magee, Catherine Harper
Hearing Site: Orlando, FL
| | Expungement |
| 19-01179 | 05/26/2022 | Claimant(s): Marlyn Schipper
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Prudential Investment Mgmt Services LLC, Principal Securities.
Respondent Lawyers(s): Kathryn Roe Eldridge, Marilyn B. Rosen
Arbitrator(s): Michael Nathanson, Jacqueline Stanley Lustig, Thomas P. Valenti
Hearing Site: Chicago, IL
| | $0 |
| 21-01305 | 10/15/2021 | Claimant(s): Joseph Reynolds
Claimant Lawyers(s): Joseph Reynolds
Respondent(s): Principal Securities.
Respondent Lawyers(s): Kathryn Roe Eldridge
Arbitrator(s): Steven H. Vogel
Hearing Site: Chicago, IL
| | $300 |
| 20-02317 | 09/24/2021 | Claimant(s): Marina Delacruz
Claimant Lawyers(s): Marina Delacruz
Respondent(s): Robinhood Financial.
Respondent Lawyers(s): Kathryn Roe Eldridge
Arbitrator(s): Timothy P. Bogan, Philip Aaron Tymon, Jon H. Sylvester
Hearing Site: San Francisco, CA
| | Dismissed by Rule 12212 |
| 19-01892 | 07/13/2021 | Claimant(s): Susan Gordon Neal
Claimant Lawyers(s): Adam J. Stewart
Respondent(s): David Reynolds, Steven Wright, Principal Securities.
Respondent Lawyers(s): David Lee Reynolds, Kathryn Roe Eldridge
Arbitrator(s): Ralph A. Cotton, Juleanne (Julie) A. Thiebaut, Stanley Data
Hearing Site: San Francisco, CA
| | Expungement |
| 11-01226 | 07/30/2013 | Claimant(s): Estate of Thelma A. Mendel, Thelma A. Mendel Lifetime Trust
Claimant Lawyers(s): J. Curt Tanner, Richard S. Frankowski
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Kathryn Roe Eldridge
Arbitrator(s): John F. Allgood, Philip Michael Moran, Brock Bingham Gordon
Hearing Site: Birmingham, AL
| | $279,500 |
| 10-01541 | 08/09/2011 | Claimant(s): Thomas Mulvey and Diane Mulvey
Claimant Lawyers(s): Richard A. Stephens
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathryn Roe Eldridge
Arbitrator(s): Mark C. Perry, Howard Bernstein, Antonio M. Freire
Hearing Site: Boca Raton, FL
| | $0 |
