| 23-02221 | 01/26/2024 | Claimant(s): Gary Ecenbarger Roth IRA, Kathy Ecenbarger Roth IRA, Gary G. Ecenbarger Revocable Trust
Claimant Lawyers(s): Michael S. Hill
Respondent(s): Farid Farhoumand
Respondent Lawyers(s): Lydia R. Zaidman
Arbitrator(s): Sharon R. Merriman, Barry Goldman, Crystal Lynne Johnson
Hearing Site: Indianapolis, IN
|  | Dismissed by Rule 12504 |
| 22-02263 | 10/25/2023 | Claimant(s): Loretta Bynum
Claimant Lawyers(s): Courtney Werning
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Edward A. Walton
Arbitrator(s): Robert J. Scafuri, Barry Goldman, Mark Gregory Brackon
Hearing Site: Detroit, MI
| | $125,000 |
| 20-04055 | 07/07/2023 | Claimant(s): Grant Montgomery
Claimant Lawyers(s): John Phillips
Respondent(s): Carter, Terry & Company.
Respondent Lawyers(s): Scott Holcomb Esq.
Arbitrator(s): Barry Goldman, Lynn Hirschfeld Brahin, Brenda Adams
Hearing Site: St. Louis, MO
| | $100,000 |
| 22-00202 | 04/25/2023 | Claimant(s): LaVonne Demuth
Claimant Lawyers(s): Paul D Gamez
Respondent(s): Brent Owens, Brooke Rockey, Dana Vietor, Daniel Hale, Kregg Rooze, Matthew Bahrenburg, Terry May, The Owens Family Trust
Respondent Lawyers(s): Andrew Shedlock, Gary S. Kessler
Arbitrator(s): Robert J. Scafuri, Barry Goldman, Joseph Tim Keeling
Hearing Site: Des Moines, IA
| | Expungement |
| 22-02724 | 03/31/2023 | Claimant(s): Nicholas Kosley
Claimant Lawyers(s): Nicholas A Kosley
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Jennifer A. Stevens
Arbitrator(s): Barry Goldman
Hearing Site: Cleveland, OH
| | $0 |
| 21-01769 | 02/10/2023 | Claimant(s): Jesse Vos
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Gary M. Saretsky
Arbitrator(s): Barry Goldman, Betty Rankin Widgeon, Mark Gregory Brackon
Hearing Site: Detroit, MI
| | Expungement |
| 21-02467 | 08/19/2022 | Claimant(s): Paul Nash
Claimant Lawyers(s): Paul Nash
Respondent(s): Royal Alliance Associates.
Respondent Lawyers(s): Jennifer R. Cox
Arbitrator(s): Barry Goldman
Hearing Site: Minneapolis, MN
| | $0 |
| 21-02551 | 08/15/2022 | Claimant(s): Joseph Dixon
Claimant Lawyers(s): Joseph O. Dixon
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Joelle A. Simms
Arbitrator(s): Barry Goldman, Phyllis Karasov, Allan Witz
Hearing Site: Minneapolis, MN
| | Dismissed by Rule 12504 |
| 21-02656 | 03/30/2022 | Claimant(s): Michael Braun IRA
Claimant Lawyers(s): Michael Braun
Respondent(s): Rydex Distributors.
Respondent Lawyers(s): Christopher Antonow
Arbitrator(s): Sharon R. Merriman, Barry Goldman, Michael Charles Peek
Hearing Site: Indianapolis, IN
| | Dismissed by Rule 12504 |
| 21-00620 | 11/03/2021 | Claimant(s): Kristen Graham
Claimant Lawyers(s): Norman W. Graham
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Kevin H. Lewis
Arbitrator(s): Barry Goldman
Hearing Site: Louisville, KY
| | $0 |
