| 24-00692 | 11/27/2024 | Claimant(s): Marie Mangin
Claimant Lawyers(s): John Mangin
Respondent(s): OneAmerica Securities.
Respondent Lawyers(s): Kathryn Roe Eldridge
Arbitrator(s): Joyce A. Mitchell, Nalini Iyer, Joel Miller
Hearing Site: Washington, DC
|  | Dismissed by Rule 12206 |
| 24-00972 | 11/26/2024 | Claimant(s): Fred Huecker, Susan Huecker
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Lawrence Nagel, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Joel M. Everest, John O. Lukanski
Arbitrator(s): George G. Kurschner
Hearing Site: Louisville, KY
| | $26,156 |
| 23-02289 | 11/25/2024 | Claimant(s): Wendy Kosberg Starr Trust Dated 9/24
Claimant Lawyers(s): Samuel B. Edwards
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): A.J. Borrelli
Arbitrator(s): Mary Elizabeth Skelnik, Michael Wayne Johnston, Kenneth Joe Gold
Hearing Site: Dallas, TX
| | Expungement |
| 22-02717 | 11/25/2024 | Claimant(s): Jeffrey Hannah
Claimant Lawyers(s): Jeffrey Hannah
Respondent(s): Thomas Hampton, MML Investors Services
Respondent Lawyers(s): Jennifer P. Farrar, Julie E. Ravis
Arbitrator(s): G. Maynard Green
Hearing Site: Birmingham, AL
| | Expungement |
| 24-01453 | 11/22/2024 | Claimant(s): Stuart Tweedie
Claimant Lawyers(s): Stuart Tweedie
Respondent(s): Vanguard Marketing Corporation
Respondent Lawyers(s): Esther E. Cho
Arbitrator(s): Michael Evan Beckman
Hearing Site: Los Angeles, CA
| | $0 |
| 23-00705 | 11/22/2024 | Claimant(s): Betty Buehler, The Estate of Mark Buehler
Claimant Lawyers(s): Thomas W. Kerrigan
Respondent(s): Chad Metzger, Edward Jones, Jeanne Wurster
Respondent Lawyers(s): Jonathan W. Hackbarth, Tracey L. Turnbull
Arbitrator(s): Sharon R. Merriman, Barry Goldman, Shontell Deon Walker
Hearing Site: Columbus, OH
| | Expungement |
| 24-00513 | 11/21/2024 | Claimant(s): Donald Easterlin
Claimant Lawyers(s): Donald Easterlin
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Garrett R. Wynne
Arbitrator(s): Anna M. Fanelli
Hearing Site: New York, NY
| | $0 |
| 23-01840 | 11/21/2024 | Claimant(s): Carmine Vano, Mary Vano
Claimant Lawyers(s): Nicholas J. Guiliano
Respondent(s): James Mariani, Michael Fasciglione
Respondent Lawyers(s): James J. Mariani, Michael Fasciglione
Arbitrator(s): Alfreida B. Kenny, Albert Rizzo, Lisa Renee Pomerantz
Hearing Site: New York, NY
| | $19,516 |
| 24-00755 | 11/21/2024 | Claimant(s): Gabriel Feurdean
Claimant Lawyers(s): Gabriel Feurdean
Respondent(s): Morgan Stanley
Respondent Lawyers(s): John E. Bersin
Arbitrator(s): Chandler R. Bridges
Hearing Site: Atlanta, GA
| | $0 |
| 24-00811 | 11/20/2024 | Claimant(s): Chad Harman
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Chelsea Financial Services
Respondent Lawyers(s): Michael Utilla
Arbitrator(s): Tina Alison Davis, William G Brown, Richard Shane Geist
Hearing Site: Wichita, KS
| | Dismissed by Rule 12206 |
