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 |
22-00801 | 01/30/2024 | Claimant(s): Annella Dixon Claimant Lawyers(s): Bradford M. Gucciardo Respondent(s): Edward Jones Respondent Lawyers(s): Jonathan W. Hackbarth Arbitrator(s): Tracy L. Allen, Gary P. Price, F. Bradford Johnson Hearing Site: Indianapolis, IN
| | $0 |
22-01894 | 01/16/2024 | Claimant(s): Western International Securities. Claimant Lawyers(s): Eric A. Michaels Respondent(s): Amar Toma Respondent Lawyers(s): Amar Toma Arbitrator(s): Tracy L. Allen, Carl E. Ver Beek, Richard Edward Rassel Hearing Site: Detroit, MI
| | $353,717 |
23-00261 | 06/23/2023 | Claimant(s): Jinsong You Claimant Lawyers(s): Jinsong You Respondent(s): Fidelity Brokerage Services LLC Respondent Lawyers(s): Kara Moore Arbitrator(s): Tracy L. Allen Hearing Site: St. Louis, MO
| | $0 |
22-02619 | 04/03/2023 | Claimant(s): Jarod Martell Claimant Lawyers(s): Jarod Martell Respondent(s): Cash App Investing LLC Respondent Lawyers(s): Kevin J. Woods Arbitrator(s): Tracy L. Allen Hearing Site: Minneapolis, MN
| | $150 |
21-01248 | 08/18/2022 | Claimant(s): Julie Erickson Claimant Lawyers(s): Terrence J. Fleming Respondent(s): Jed Bandes, Peter Taurinskas, Mutual Trust Company of America Securiti Respondent Lawyers(s): Robert Persante Arbitrator(s): Tracy L. Allen, William Benjamin Gavzy, Jonathan Bruce Kvasnik Hearing Site: Minneapolis, MN
| | Expungement |
20-02237 | 08/16/2022 | Claimant(s): Mark Schultz, Wealth Management Trust Claimant Lawyers(s): Jason S. Haselkorn Respondent(s): LPL Financial LLC Respondent Lawyers(s): Eric A. Michaels Arbitrator(s): Tracy L. Allen Hearing Site: Detroit, MI
| | Expungement |
20-02094 | 12/16/2021 | Claimant(s): William Barrett, William G. Barrett Roth IRA Claimant Lawyers(s): Joseph Wojciechowski Respondent(s): Ausdal Financial Partners., Sentinus-Halo Securities Respondent Lawyers(s): Nancy L. Hendrickson Arbitrator(s): Tracy L. Allen, Sally J. Wiggins, Charles Kahn Hearing Site: Milwaukee, WI
| | Expungement |
19-03321 | 01/25/2021 | Claimant(s): John Holborn Claimant Lawyers(s): Bradford M. Gucciardo Respondent(s): David Shapiro, CNL Securities Corp., Cadaret, Grant & Co.. Respondent Lawyers(s): David G. Buffa, Jonathan E. Green Arbitrator(s): Tracy L. Allen, Kathleen P. Helbig-Hannan, Gerald Grace Hearing Site: Buffalo, NY
| | Dismissed by Rule 12206 |
20-01028 | 01/13/2021 | Claimant(s): Diane Ranck, Robert Ranck Claimant Lawyers(s): Bradford M. Gucciardo Respondent(s): Berthel Fisher & Co. Financial Svcs. Inc Respondent Lawyers(s): Cory D. Olson Arbitrator(s): Tracy L. Allen, Alain Frecon, John Edward Jackson Hearing Site: Des Moines, IA
| | Dismissed by Rule 12206 |