| 21-02577 | 03/16/2022 | Claimant(s): John Eversgerd, Viktor Prozapas, Ettinger Family Trust
Claimant Lawyers(s): Jennifer Tarr
Respondent(s): Lawrence Fawcett, Shawn Burns
Respondent Lawyers(s): Lawrence John Fawcett, Shawn Evan Burns
Arbitrator(s): Rory M. McLaughlin
Hearing Site: New York, NY
|  | $732,617 |
| 20-00671 | 03/15/2022 | Claimant(s): Carl Glowacki
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): MML Investors Services
Respondent Lawyers(s): Julie E. Ravis
Arbitrator(s): Laura A. Kaster
Hearing Site: Philadelphia, PA
| | Dismissed by Rule 12504 |
| 18-02918 | 03/15/2022 | Claimant(s): Donald & Marjorie Lavin Trust
Claimant Lawyers(s): Joshua A. Katz
Respondent(s): Jon Broadbent, Pamela Lawson, Robert Lawson, Lawson Financial Corporation
Respondent Lawyers(s): Andrew L. Sparks, Jon David Broadbent
Arbitrator(s): Kimberly A. Gilmour, John B. Sochacki, Jason Allen Rosner
Hearing Site: Boca Raton, FL
| | $443,114 |
| 21-02392 | 03/14/2022 | Claimant(s): Bizhan Sheikholeslami
Claimant Lawyers(s): Bizhan Zia Sheikholeslami
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Gregory M. Scanlon
Arbitrator(s): Terry F Peppard
Hearing Site: Milwaukee, WI
| | $163 |
| 18-01349 | 03/11/2022 | Claimant(s): Ivan Mailhot, Nancy Mailhot, Ivan Mailhot IRA, Nancy Mailhot IRA
Claimant Lawyers(s): Gary Menzer
Respondent(s): First Allied Securities.
Respondent Lawyers(s): Edwin A. Barkel
Arbitrator(s): Harold J. Merkow, Edwin J. Buckley, Ronald Dean Mayes
Hearing Site: Phoenix, AZ
| | $2,662,420 |
| 20-00106 | 03/11/2022 | Claimant(s): Allan T. Schmaltz IRA
Claimant Lawyers(s): John E. Sutherland
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): John D. Stewart
Arbitrator(s): Andrea J. Goldman
Hearing Site: Boston, MA
| | $0 |
| 20-00862 | 03/10/2022 | Claimant(s): Joan Highsmith, Lutricia Ward, Estate of Thomas Ward
Claimant Lawyers(s): Alex S Aughtry
Respondent(s): Anthony Mesquit, Eric McSwain, Jennifer Dehart, Fidelity Brokerage Services LLC, Nassim Elias, Fidelity Personal and Workplace Advisors
Respondent Lawyers(s): W. Preston Martin
Arbitrator(s): Barbara L. Edin, Keith E. Robinson, Arlene Denise Knighten
Hearing Site: New Orleans, LA
| | Expungement |
| 20-01422 | 03/09/2022 | Claimant(s): Lisa Craig, Renee Allie
Claimant Lawyers(s): Jason J. Kane
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): George C. Freeman
Arbitrator(s): Mark A. Myers, Stephen Edgar Eisenbraun, Valerie Turner Schexnayder
Hearing Site: New Orleans, LA
| | Expungement |
| 21-01711 | 03/09/2022 | Claimant(s): Yeshiva Or Hadach
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Edgar Kleydman
Respondent Lawyers(s): Paul T. Weinstein
Arbitrator(s): Wallace Anthony Showman
Hearing Site: New York, NY
| | $10,325 |
| 21-02570 | 03/09/2022 | Claimant(s): Daniel Rosen
Claimant Lawyers(s): Daniel Rosen
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Greg M. Scanlon
Arbitrator(s): Jack Friedman
Hearing Site: Jersey City, NJ
| | $300 |
