20-03896 | 03/22/2022 | Claimant(s): Richard Dunstan, Perma-Chink Systems., Richard Dunstan Contributory IRA, Richard Dunstan Roth Conversion IRA Claimant Lawyers(s): Mark C. Santi Respondent(s): Charles Schwab & Co.., Interactive Brokers LLC Respondent Lawyers(s): Christopher A. Stecher, David Luger Arbitrator(s): Katherine Hendricks, Jonathan Sprouffske, Martin Kehoe Hearing Site: Seattle, WA
| | $0 |
19-03404 | 03/21/2022 | Claimant(s): Frank B Hannah Sr. Claimant Lawyers(s): Luke Rommel Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Michael Truitt Respondent Lawyers(s): Tara A. LaClair Arbitrator(s): Daniel J. Donovan, Richard E. Lauziere, Tina E. Patterson Hearing Site: Baltimore, MD
| | Expungement |
20-03364 | 03/21/2022 | Claimant(s): Vanessa Jones Claimant Lawyers(s): Vanessa Jones Respondent(s): J.P. Morgan Securities, Maurice Lounds, Paul Fiacable Respondent Lawyers(s): Daniel Rucker, Shipra K. Rege Arbitrator(s): Lynn Hirschfeld Brahin Hearing Site: Chicago, IL
| | $0 |
20-03374 | 03/21/2022 | Claimant(s): Alicia Friedrichs, Andrew Knopfel, Barbara Stephens, Brian Bazata, Carolyn Lura, Carson Stephens, Connor Emshousen, Curtis Stanfill, Daniel Orms, David Friedrichs, Dawn Emshousen, Douglas Brown, Douglas Egbert, Douglas Havelka, Eddie Case, Eileen Hubert, Elliott Higginbotham, Gerry Stephens, Heidi Bazata, Hunter Stephens, Jana Reilly, Jeff Finley, Jerry Stephens, John Carter, John Hubert, Kay Thornton, Kerri Bridges, Kurtis Emshousen, Larry Guthrie, Lee Friedman, Leslie Stephens, Malinda Roberson, Mary Corsair, Michael Dorman, Nelson Rabdall, Robert Bridges, Roger Dowdy, Ronald Carter, Stephanie Orms, Steven Friedman, Terry Ferguson, Thomas Marks, Timothy Dorman, Varda Case, Virginia Schumacher, William Reilly, William Ridings, Jerry William Stephens Trust, Ronald N. Carter Revocable Trust, Steven A Friedman Revocable Trust Claimant Lawyers(s): Adam J. Weinstein Respondent(s): Principal Securities. Respondent Lawyers(s): Kathryn R. Eldridge Arbitrator(s): Leah Murray Albert, James M. Stern, David E. Crawford Hearing Site: St. Louis, MO
| | $0 |
21-01805 | 03/21/2022 | Claimant(s): George Gammill Claimant Lawyers(s): Kenneth H. Looney Respondent(s): Charles Schwab & Co.. Respondent Lawyers(s): Amanda Saykes Arbitrator(s): Frances Johnson Wright Hearing Site: Birmingham, AL
| | $9,975 |
21-01996 | 03/17/2022 | Claimant(s): Charles Schwab & Co.. Claimant Lawyers(s): Jonathan D. Berg Respondent(s): Maria Esparza Respondent Lawyers(s): Maria Esparza Arbitrator(s): Sheila Grinell, Roger A. Geddes, Glenn Allen Baker Hearing Site: Phoenix, AZ
| | $0 |
20-00065 | 03/17/2022 | Claimant(s): Alice Warsinske, Christopher Morris, Daryl Morris, Peter Warsinske, Sidney Warsinke, Nancy Ketchum Warsinske Trust Claimant Lawyers(s): Alan L. Rosca Respondent(s): Gregory Berlacher, Emerging Growth Equities, Ltd. Respondent Lawyers(s): Joseph Dever Arbitrator(s): Thomas Benjamin Salzer, David F. Griesing, Peter George Erdely Hearing Site: Philadelphia, PA
| | $0 |
21-01131 | 03/17/2022 | Claimant(s): Maria Muessen Claimant Lawyers(s): Kyle Kulzer Respondent(s): Robinhood Financial., Robinhood Securities Respondent Lawyers(s): Dominick F. Evangelista Arbitrator(s): Joyce A. Mitchell Hearing Site: Washington, DC
| | $0 |
21-00534 | 03/16/2022 | Claimant(s): Charles Schwab & Co.. Claimant Lawyers(s): Jonathan D. Berg Respondent(s): Richard Louis Respondent Lawyers(s): Richard Pierre Louis Arbitrator(s): Theresa Joan Rosenberg Hearing Site: Atlanta, GA
| | $0 |
21-01425 | 03/16/2022 | Claimant(s): Gary Zimmerman Claimant Lawyers(s): Bryan T. Forman Respondent(s): TD Ameritrade. Respondent Lawyers(s): James J. Vihstadt Arbitrator(s): Lawrence R. Maxwell Hearing Site: Dallas, TX
| | $86,000 |