| 24-01178 | 10/30/2024 | Claimant(s): Mark Mann
Claimant Lawyers(s): Mark A. Mann
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Noah D. Sorkin
Arbitrator(s): Louis Charles Schmitt
Hearing Site: Cleveland, OH
|  | $0 |
| 22-02189 | 10/04/2024 | Claimant(s): Stephanie Bokor
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): Jeffrey M. Bain, Kimberlee S. Ullner, Henry George Grendell
Hearing Site: Cleveland, OH
| | $0 |
| 23-01770 | 09/16/2024 | Claimant(s): Anne Connell-Freund
Claimant Lawyers(s): Jason T. Albin
Respondent(s): Derek Crihfield, Ameriprise Financial Services
Respondent Lawyers(s): Edward A. Walton
Arbitrator(s): Lynn Hirschfeld Brahin, Robert M Lustig, Adeladi Williams
Hearing Site: Cleveland, OH
| | $0 |
| 21-01883 | 08/27/2024 | Claimant(s): Brock E. Milstein Trustee FBO Trust
Claimant Lawyers(s): David E. Robbins
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Carrie M. Stickel
Arbitrator(s): Robert M. Shwab, Robert H. Baker, Kevin Brodar
Hearing Site: Cleveland, OH
| | $0 |
| 23-01524 | 08/13/2024 | Claimant(s): David Pfanner
Claimant Lawyers(s): David Pfanner
Respondent(s): Katie Secker, Fidelity Brokerage Services LLC
Respondent Lawyers(s): Shawn J. Gebhardt
Arbitrator(s): Robert J. Scafuri
Hearing Site: Cleveland, OH
| | $0 |
| 23-01591 | 08/07/2024 | Claimant(s): Cobra Trading.
Claimant Lawyers(s): Craig M. Warner
Respondent(s): Judy Reynolds
Respondent Lawyers(s): Stanley Q. Casey
Arbitrator(s): David Minc
Hearing Site: Cleveland, OH
| | $67,500 |
| 22-01842 | 07/30/2024 | Claimant(s): Randy Dean
Claimant Lawyers(s): Randy K. Dean
Respondent(s): Kelly Gillikin
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): Tracy L. Allen, Scott C. Matasar, Tim Warner
Hearing Site: Cleveland, OH
| | Expungement |
| 22-02854 | 05/24/2024 | Claimant(s): Andrew Channon, David Parker, Joel Meyer, Larry Madsen, Paul Kennedy
Claimant Lawyers(s): Brandon Dei
Respondent(s): Aegis Capital Corp.
Respondent Lawyers(s): Sameer Rastogi
Arbitrator(s): Gregory G. Gocek, Henry George Grendell, Michael Jay Teitelbaum
Hearing Site: Cleveland, OH
| | $0 |
| 23-03278 | 03/26/2024 | Claimant(s): Marianne Kuhlow
Claimant Lawyers(s): Michael J. Betts
Respondent(s): Alexander Hall, Fidelity Brokerage Services LLC
Respondent Lawyers(s): Noah D. Sorkin
Arbitrator(s):
Hearing Site: Cleveland, OH
| | $600 |
| 22-00120 | 11/16/2023 | Claimant(s): Shirley Karcher, The Amended and Restated Trust Agreement, The Edbert A. Karcher Irrevocable Mari
Claimant Lawyers(s): Ashlie Case Sletvold
Respondent(s): J.W. Cole Financial.
Respondent Lawyers(s): Brian P. Nally
Arbitrator(s): Gary B. Deutsch, David Minc, David N Brown
Hearing Site: Cleveland, OH
| | $135,000 |
