| 23-03242 | 06/07/2024 | Claimant(s): Jennifer Malhotra, Vineet Malhotra
Claimant Lawyers(s): Joshua A. Katz
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Michael A. Gross
Arbitrator(s): Cindy L. Anderson
Hearing Site: Jacksonville, FL
|  | $0 |
| 22-01671 | 12/18/2023 | Claimant(s): Gelila Jones, Jay Jones
Claimant Lawyers(s): Jonathan Schwartz
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Keith Olin
Arbitrator(s): Jacquelyn M. Shannon, Terrence L. Harvey, Catherine Michelle Straley-Edson
Hearing Site: Jacksonville, FL
| | Expungement |
| 22-00177 | 06/01/2023 | Claimant(s): Mark Bird
Claimant Lawyers(s): Michael C. Bixby
Respondent(s): Hugh Dunn, Michael Halkitis, The Rockwell Financial Group.
Respondent Lawyers(s): Jon-Jorge Aras
Arbitrator(s): Nicholas John Taldone, Meeta Alberta Bass, Sherell Edwards
Hearing Site: Jacksonville, FL
| | $84,693 |
| 22-01266 | 04/03/2023 | Claimant(s): Jasminka Ilich-Ernst
Claimant Lawyers(s): Scott L Silver
Respondent(s): Gail Milon
Respondent Lawyers(s): Gail Antoinette Milon
Arbitrator(s): Nicholas John Taldone, Sherell Edwards, Crista Hosmer
Hearing Site: Jacksonville, FL
| | $1,062,270 |
| 22-00169 | 10/24/2022 | Claimant(s): David Gray
Claimant Lawyers(s): Courtney Werning
Respondent(s): Triad Advisors LLC
Respondent Lawyers(s): James A. McGovern
Arbitrator(s): Richard R. Logsdon, Meeta Alberta Bass, Karen Santiago
Hearing Site: Jacksonville, FL
| | Dismissed by Rule 12206 |
| 21-02462 | 10/17/2022 | Claimant(s): John Griffin
Claimant Lawyers(s): John C. Griffin
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Kevin H. Lewis
Arbitrator(s): Brian Michael Kane
Hearing Site: Jacksonville, FL
| | $0 |
| 21-00305 | 08/31/2022 | Claimant(s): Gene Lindenboom, Mary Lindenboom
Claimant Lawyers(s): Lars Soreide
Respondent(s): Justin Dolan, Cetera Advisors LLC
Respondent Lawyers(s): Elaine Rice
Arbitrator(s): Brian Michael Kane, Philip William Vineyard, Donald Gene Tanner
Hearing Site: Jacksonville, FL
| | Expungement |
| 21-01157 | 08/05/2022 | Claimant(s): Ronald Brafford
Claimant Lawyers(s): Kevin P. Krupnick
Respondent(s): Carmine Berardi, Rocco Roveccio, Carl Standard & Co. Holdings
Respondent Lawyers(s): Carmine Anthony Berardi, Legal Department, Rocco Roveccio
Arbitrator(s): Maurice M. Feller, Theodore Hornoi-Centerwall, Steven K Yablonski
Hearing Site: Jacksonville, FL
| | Expungement |
| 20-03507 | 07/21/2022 | Claimant(s): James Stege
Claimant Lawyers(s): Kristian Kraszewski
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Eleonora Yonge
Arbitrator(s): John P. Cullem
Hearing Site: Jacksonville, FL
| | Expungement |
| 20-04210 | 03/30/2022 | Claimant(s): Nathan Edwards
Claimant Lawyers(s): Nathan Edwards
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): Mitchel Weiss, Brian Michael Kane, Mary Ann Etzler
Hearing Site: Jacksonville, FL
| | $0 |
