| 20-04089 | 09/15/2021 | Claimant(s): Michael Braun
Claimant Lawyers(s): Michael Braun
Respondent(s): Guggenheim Funds Distributors
Respondent Lawyers(s): Christopher Antonow
Arbitrator(s): Philip J. Glick, Gerald W. Hepp, David E. Bailey
Hearing Site: Indianapolis, IN
|  | Dismissed by Rule 12504(a)(6)(A) |
| 21-00601 | 06/29/2021 | Claimant(s): Nicholas Thompson
Claimant Lawyers(s): Nicholas Thompson
Respondent(s): Robinhood Financial.
Respondent Lawyers(s): Dominick F. Evangelista
Arbitrator(s): Gerald W. Hepp
Hearing Site: Indianapolis, IN
| | $0 |
| 19-02215 | 06/02/2021 | Claimant(s): John Gorsline, Susan Rhodes-Greene
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Next Financial Group.
Respondent Lawyers(s): John Hitchings
Arbitrator(s): Barry Goldman, Gerald W. Hepp, Joseph Maron Hanna
Hearing Site: Buffalo, NY
| | Expungement |
| 18-04139 | 01/22/2021 | Claimant(s): Jody Chesko, Richard Dorr, Jody Chesko Irrevocable Trust, Richard J. Dorr Irrev. Life Ins. Trust
Claimant Lawyers(s): Kevin T. O'Brien
Respondent(s): Susan Coriale, GWN, Securities Inc.
Respondent Lawyers(s): Erin Maddocks
Arbitrator(s): Howard B. Cohen, Gerald W. Hepp, Ronald F Thompson
Hearing Site: Buffalo, NY
| | Expungement |
| 18-01204 | 08/19/2020 | Claimant(s): Catherine C Meiresonne IRA, Michael L Meiresonne IRA, Industrial Quick Search DBP
Claimant Lawyers(s): Daniel J. Broxup
Respondent(s): Regal Securities.
Respondent Lawyers(s): Alan M. Wolper
Arbitrator(s): Matthew W. Schlegel, Gerald W. Hepp, Sandra Franklin
Hearing Site: Detroit, MI
| | $0 |
| 19-00703 | 08/12/2019 | Claimant(s): Nancy Harp
Claimant Lawyers(s): Benjamin B. Segel
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): Brandy Pikus
Arbitrator(s): Gerald W. Hepp
Hearing Site: Cleveland, OH
| | $0 |
| 18-02945 | 06/27/2019 | Claimant(s): Douglas D. and Joan L. Start
Claimant Lawyers(s): Joan L. Start
Respondent(s): Thomas Oakes, Royal Securities Company
Respondent Lawyers(s): Thomas Cameron Oakes, Troy Ernzer
Arbitrator(s): Gerald W. Hepp
Hearing Site: Detroit, MI
| | $70,000 |
| 18-02950 | 06/26/2019 | Claimant(s): Larry Kloth
Claimant Lawyers(s): Thomas P. Dillon
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Stephanie L. Sweitzer
Arbitrator(s): Gail K. Barski-McCracken, Gerald W. Hepp, Zachary William Behler
Hearing Site: Detroit, MI
| | $0 |
| 18-01007 | 04/29/2019 | Claimant(s): Carpenter Law Firm Defined Benefit Plan
Claimant Lawyers(s): Gail E. Boliver
Respondent(s): Morgan Stanley & Co., Michael Canney
Respondent Lawyers(s): Jeffrey S. Jacobi
Arbitrator(s): Lawrence R. Rute, Gerald W. Hepp, Brett Coonrod
Hearing Site: Des Moines, IA
| | $464,813 |
| 18-01533 | 04/23/2019 | Claimant(s): Eric Baho
Claimant Lawyers(s): Eric Baho
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Melissa H. Shea
Arbitrator(s): Stephen D. Arkwright, Gerald W. Hepp, Timothy Guerriero
Hearing Site: Detroit, MI
| | Expungement |
