| 20-01786 | 10/26/2020 | Claimant(s): Mark Dalrymple
Claimant Lawyers(s): Kyle M. Kulzer
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Noah D. Sorkin, Esq.
Arbitrator(s): Alain Frecon
Hearing Site: Minneapolis, MN
|  | Settlement |
| 16-03022 | 09/19/2017 | Claimant(s): Smith Walker
Claimant Lawyers(s): David A. Walton
Respondent(s): E*Trade Securities LLC, E*Trade Clearing LLC
Respondent Lawyers(s): Meredith Hoffman, Esq.
Arbitrator(s): G. Maynard Green, Robert J. Gregory, Joseph Neal Richardson
Hearing Site: Dallas, TX
| | $0 |
| 16-00826 | 08/23/2017 | Claimant(s): Charles Morgan, Charles W. Morgan Revocable Living Trust
Claimant Lawyers(s): Charles W. Morgan
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Judy Louie, Esq.
Arbitrator(s): Michael Harrison, Richard M. Norman, Anita Rae Shapiro
Hearing Site: Los Angeles, CA
| | Expungement |
| 15-01408 | 08/02/2016 | Claimant(s): Randi Dukoff
Claimant Lawyers(s): Timothy J. O'Connor, Esq.
Respondent(s): Joel Joachim, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Regina Pepe Martorana
Arbitrator(s): Keely D. Parr
Hearing Site: New York, NY
| | Dismissed by Rule 12206 |
| 12-00470 | 10/04/2013 | Claimant(s): Greg Chandler
Claimant Lawyers(s): Collin H. Nyeholt
Respondent(s): Wells Fargo Advisors, Mark Tomas, Tomas Holdings., Wolverine Real Estate Partners
Respondent Lawyers(s): Mark L. Kowalsky, Nuviah Shirazi, Esq.
Arbitrator(s): Barry Goldman, Susan L. Currier, Lee Hornberger
Hearing Site: Detroit, MI
| | Expungement |
| 12-03835 | 07/10/2013 | Claimant(s): Henry Hancock, Khalid Nazir, Richard Dino, Sandra Hershberg, James Goodman IRA, Jonathan Lobatto IRA, James L. Fosshage Profit Sharing Plan, Steffke Family Revocable Trust, The Red Trust
Claimant Lawyers(s): Phillip J. Snyderburn
Respondent(s): Grace Financial Group LLC
Respondent Lawyers(s): William Kebbe, Esq.
Arbitrator(s): Beverly S. Gordon
Hearing Site: Orlando, FL
| | $51,600 |
| 07-00611 | 11/27/2007 | Claimant(s): Doreen Romamello-Davis
Claimant Lawyers(s): Doreen Romamello-Davis
Respondent(s): Marc Steinberg
Respondent Lawyers(s): Robert B. Steinberg, Esq.
Arbitrator(s): Roy L. Weiss
Hearing Site: New York, NY
| | $7,425 |
