| 21-00506 | 02/15/2022 | Claimant(s): David Anderson
Claimant Lawyers(s): David Anderson
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Garrett R. Wynne
Arbitrator(s): Roger C. Benson, James A. McIntosh, Robert Lane Arrington
Hearing Site: Nashville, TN
|  | Dismissed by Rule 12504 |
| 18-03495 | 02/15/2022 | Claimant(s): Diane Sagrillo, Robert Sagrillo
Claimant Lawyers(s): Jason J. Kane
Respondent(s): David Turner, John Vansant, Cascade Financial Management.
Respondent Lawyers(s): David Hirschberg
Arbitrator(s): Richard J. Lawrence, Baldwin Ranson, Eileen Joan Carpenter
Hearing Site: Denver, CO
| | Expungement |
| 20-01084 | 02/15/2022 | Claimant(s): Antonia Hieronymus, Daniel Hassett, David Freshwater, Joseph Reilly, Steven Rothstein, Vijay Ande
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Joseph Alagna, Stephan Stein, Joseph Gunnar & Co.
Respondent Lawyers(s): John E. Lawlor
Arbitrator(s): Roy B. Gonas, Michael J. Quarequio, Joseph Benalt
Hearing Site: Boca Raton, FL
| | $512,731 |
| 21-02245 | 02/15/2022 | Claimant(s): Aftab Sandhu
Claimant Lawyers(s): Aftab Sandhu
Respondent(s): Robinhood Financial
Respondent Lawyers(s): Jonathan J. Brennan
Arbitrator(s): Edward W. Morris
Hearing Site: Jersey City, NJ
| | $2,500 |
| 20-03998 | 02/14/2022 | Claimant(s): Erwin Knapp, Linda Kelderhouse, Erwin Knapp IRA, Erwin A. Knapp & Marga Knapp JTWROS, Linda Kelderhouse TOD
Claimant Lawyers(s): Matt Wolper
Respondent(s): David Lerner Associates.
Respondent Lawyers(s): Briana K. Huffer
Arbitrator(s): William H. Morley, John Michael Richardson, Joyce Diane Campbell Priveterre
Hearing Site: New York, NY
| | Expungement |
| 20-01200 | 02/11/2022 | Claimant(s): Frank Petrosino, James Salter
Claimant Lawyers(s): Lainie E. Cohen
Respondent(s): Paulson Investment Company, Joseph Hain, Timothy Touloukian
Respondent Lawyers(s): Richard Roth, Steven C. Berman, Todd A. Zuckerbrod
Arbitrator(s): Leon Fox, Dianne Marie Onichimowski, William James Shimanek
Hearing Site: Chicago, IL
| | Expungement |
| 19-00509 | 02/11/2022 | Claimant(s): James LeFebvre, Trustee
Claimant Lawyers(s): Bart Heemskerk
Respondent(s): Dennis LeFebvre, UBS Financial Services Inc., Michael Martin, Patrick Donnelly
Respondent Lawyers(s): Dennis L. LeFebvre, Gregory S. Sparer, Matthew B. Baum
Arbitrator(s): Kenneth R. Starr, Brian Patrick Quinn, Jerome Blevins
Hearing Site: Tampa, FL
| | $0 |
| 20-03859 | 02/11/2022 | Claimant(s): Charles Brown, Charles Brown Declaration of Trust
Claimant Lawyers(s): Nate Fata
Respondent(s): Andrew Gordon, Wells Fargo Clearing Services
Respondent Lawyers(s): Stephen M. Cox
Arbitrator(s): Joe E. Manuel, Kenneth R. Starr, Gary E. Marcus
Hearing Site: Columbia, SC
| | $273,088 |
| 21-02242 | 02/11/2022 | Claimant(s): Roger Roach
Claimant Lawyers(s): William A. Haddad
Respondent(s): Morgan Stanley, Noah Caruso
Respondent Lawyers(s): Amanda Parisi
Arbitrator(s): Leslie L. Cooney
Hearing Site: Boca Raton, FL
| | $0 |
| 21-01144 | 02/10/2022 | Claimant(s): Carol Keene
Claimant Lawyers(s): Carol Keene
Respondent(s): Anthony Valente, Morgan Stanley, Ronnie Guidone, Yuji Fujii
Respondent Lawyers(s): Abigail D. Elrod, Stephany D. McLaughlin
Arbitrator(s): Albert T. T. Cook, Paul E. Dahlman, Michael D. Briggs
Hearing Site: Albuquerque, NM
| | Expungement |
