| 19-00807 | 01/21/2022 | Claimant(s): NLT Holdings Trust
Claimant Lawyers(s): Christopher J. Gray
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Peter G. Wilson
Arbitrator(s): Gary J. Leshaw, Bruce W. Bennett, Larry Mims
Hearing Site: Atlanta, GA
|  | $0 |
| 20-03502 | 01/21/2022 | Claimant(s): Burns Francis Trustee U/D/T 4-24-2016, Charlyn Austin, Francis D.B. Tate II
Claimant Lawyers(s): Francis D.B. Tate
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): Susanne J. Hollander, Allen Greenberg, Matthew D Arbit
Hearing Site: Chicago, IL
| | Dismissed by Rule 12212(c) |
| 20-01036 | 01/19/2022 | Claimant(s): Johnny Rodriguez
Claimant Lawyers(s): Robert Brian Volynsky
Respondent(s): LPL Financial LLC, Dawn West
Respondent Lawyers(s): Thomas F. Barnett
Arbitrator(s): Peter A. Goldman, Peter A. Seibel, John Michael Bergin
Hearing Site: New York, NY
| | Expungement |
| 20-03950 | 01/18/2022 | Claimant(s): Janette Bossier, Blane Bossier on Behalf of His IRA, Janette Bossier as Administrator of the, Leonard Bossier IRA, Leonard Bossier SEP
Claimant Lawyers(s): Frank C. Breese
Respondent(s): Edward Jones, Kenneth Knopp
Respondent Lawyers(s): Joshua D. Jones
Arbitrator(s): Roger C. Benson, Kenneth R. Starr, Harvey R. Linder
Hearing Site: Jackson, MS
| | Expungement |
| 20-03396 | 01/18/2022 | Claimant(s): Maria Albers
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): MSC - BD
Respondent Lawyers(s): Christopher D. Seps
Arbitrator(s): James M. Stern, Ericka Cables, Jane Curtman-Schroeder
Hearing Site: St. Louis, MO
| | $221,339 |
| 20-03751 | 01/14/2022 | Claimant(s): Elizabeth Baucom, Richard Baucom, Richard Baucom IRA
Claimant Lawyers(s): Michael Hill
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Eric A. Michaels
Arbitrator(s): Guillermo L. Bosch, Mary L. Sims, Louis P. Wagman
Hearing Site: Philadelphia, PA
| | Dismissed by Rule 12206 |
| 20-03745 | 01/13/2022 | Claimant(s): Deborah Black
Claimant Lawyers(s): Deborah Black
Respondent(s): Lee Nordstrom, Vorpahl Wing Securities
Respondent Lawyers(s): Douglas J. Siddoway, Lee Victor Nordstrom
Arbitrator(s): Stephany Adriene Watson, Courtland T. Shafer, Phillip Mohammed
Hearing Site: Seattle, WA
| | settlement |
| 20-02976 | 01/13/2022 | Claimant(s): Normando Matos
Claimant Lawyers(s): Sara Hanley
Respondent(s): Kovack Securities Inc
Respondent Lawyers(s): Gara M. Seagraves
Arbitrator(s): Edward R. Niederriter, Sidney Seligman, Melanie Anne Dernis
Hearing Site: Boca Raton, FL
| | Expungement |
| 19-03232 | 01/13/2022 | Claimant(s): Amy Wister, Cindy Konits, Gail Friedler, Gordon Boone, Milan Wister, Philip Konits, Richard Friedler, Stanley Friedler
Claimant Lawyers(s): Daniel Miller
Respondent(s): Coleman Devlin, Stifel, Nicolaus & Co..
Respondent Lawyers(s): Edwin A. Zipf
Arbitrator(s): Steven Irving Platt, Betty Ann Stemley, Beata Gruszecka
Hearing Site: Baltimore, MD
| | $0 |
| 20-04098 | 01/13/2022 | Claimant(s): William Struwe
Claimant Lawyers(s): Scott I. Batterman
Respondent(s): Carmine Berardi
Respondent Lawyers(s): Carmine Anthony Berardi
Arbitrator(s): John J. Fitzpatrick, Michael Lancaster Garcia, Reed Way Dasenbrock
Hearing Site: Honolulu, HI
| | $281,500 |
