| 20-00652 | 02/28/2022 | Claimant(s): James W. Miller, Jr.
Claimant Lawyers(s): Stephen O'Donnell
Respondent(s): Fidelity Brokerage Services LLC, National Financial Services LLC, Nicholas King, Paolo Rocca, Strategic Advisers.
Respondent Lawyers(s): Dochtor Kennedy, Kathryn B. Rockwood
Arbitrator(s): Theodore W. Wrobleski, Philip C. Stahl, James William Hoag
Hearing Site: Chicago, IL
|  | Expungement |
| 21-01158 | 02/28/2022 | Claimant(s): Xuehong Sun
Claimant Lawyers(s): Xuehong Sun
Respondent(s): Interactive Brokers
Respondent Lawyers(s): Jason O. Billy
Arbitrator(s): Gregory G. Gocek
Hearing Site: Chicago, IL
| | $0 |
| 21-00928 | 02/25/2022 | Claimant(s): Zahid Awan
Claimant Lawyers(s): Zahid H Awan
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Travis L. Salmon
Arbitrator(s): Richard Maurice Robinson
Hearing Site: Los Angeles, CA
| | Dismissed by Rule 12212/12511 |
| 20-00599 | 02/25/2022 | Claimant(s): Nicholas M. Del Ninno, IRA
Claimant Lawyers(s): Andrew M. Greenidge
Respondent(s): Robert W. Baird & Co. Incorporated, J.J.B. Hilliard, W.L. Lyons, Randal Master
Respondent Lawyers(s): Joseph C. Coates, III
Arbitrator(s): David M. Snyder, Shameeka E. Quallo, Dwayne Eddie Hickman
Hearing Site: Orlando, FL
| | Expungement |
| 20-03291 | 02/25/2022 | Claimant(s): Robert Refice IRA
Claimant Lawyers(s): Michael Hill
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Eric A. Michaels
Arbitrator(s): Gordon M. Wase, Kathleen Jones Spilker, Joseph Patrick Murphy
Hearing Site: Philadelphia, PA
| | Expungement |
| 19-01625 | 02/25/2022 | Claimant(s): William P. Cella and Elaine F. Cella
Claimant Lawyers(s): Charles J. Hecht
Respondent(s): First Republic Investment Management Inc, First Republic Securities Company
Respondent Lawyers(s): Nicole Ryan
Arbitrator(s): Joan Maxine Secofsky, Judith C. Zerden, Madelon M. Rosenfeld
Hearing Site: New York, NY
| | $0 |
| 20-02010 | 02/24/2022 | Claimant(s): Marcy Hill, Estate of Judy McClellan
Claimant Lawyers(s): Kira Fonteneau
Respondent(s): Edward Jones, Robert Hickey, Timothy Dolan
Respondent Lawyers(s): Laura A. Pizzitola, Robert D. Hickey
Arbitrator(s): Victor L. Hayslip, Earle J. Schwarz, Marvin Kent Speigner
Hearing Site: Birmingham, AL
| | Expungement |
| 20-00069 | 02/24/2022 | Claimant(s): Alfred Woodard
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Bruce Guarino, Douglas Guarino, Jonothon Lieberman, Rockwell Global Capital LLC
Respondent Lawyers(s): Douglas Joseph Guarino, Jonothon Michael Lieberman, Robert M. Bursky
Arbitrator(s): Brandt Leonard Ross, Ernest Linwood Gunn, George Pinckney Shingler
Hearing Site: Atlanta, GA
| | $80,300 |
| 20-01561 | 02/24/2022 | Claimant(s): George Stelljes
Claimant Lawyers(s): Jason E. Tauches
Respondent(s): Christopher Lopez, Forrest Jones
Respondent Lawyers(s): Christopher Knight Lopez, Forrest Jones
Arbitrator(s): Henry R. Oppenheimer, Robert L. Chase, Robert E. Anderson
Hearing Site: Providence, RI
| | $200,000 |
| 21-00450 | 02/24/2022 | Claimant(s): Kevin Knight
Claimant Lawyers(s): Kevin Knight
Respondent(s): Robinhood Financial., Robinhood Securities
Respondent Lawyers(s): Dominick F. Evangelista
Arbitrator(s): Daniel J. Pagnano, Allan R. Lazor, Kevin Colby
Hearing Site: Houston, TX
| | $0 |
