| 20-01792 | 01/12/2022 | Claimant(s): Justin London
Claimant Lawyers(s): Justin London
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): Peter Ordower, Anthony P. Pecora, Dennis C. Waldon
Hearing Site: Chicago, IL
|  | $0 |
| 20-04065 | 01/12/2022 | Claimant(s): Steven Swanson
Claimant Lawyers(s): Jason S. Haselkorn
Respondent(s): Infinity Financial Services
Respondent Lawyers(s): Alan M. Wolper
Arbitrator(s): James E. Bartels
Hearing Site: Seattle, WA
| | $0 |
| 21-02115 | 01/12/2022 | Claimant(s): John L. Hillhouse
Claimant Lawyers(s): John L. Hillhouse
Respondent(s): Antwan Cork, Ameriprise Financial Services, Victor Israel
Respondent Lawyers(s): Sydney H. Crowder
Arbitrator(s): Brian James Tagtmeier
Hearing Site: Houston, TX
| | $0 |
| 20-02397 | 01/11/2022 | Claimant(s): Amended and Restated Julian I. Stoopler
Claimant Lawyers(s): Gary S. Menzer
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Regina Pepe Martorana
Arbitrator(s): Gerald Silverman, Sue Ellen D'Arcangelo, Michael Bracchi
Hearing Site: Boca Raton, FL
| | Expungement |
| 21-00563 | 01/10/2022 | Claimant(s): Robert Caswell
Claimant Lawyers(s): Kevin P. Krupnick
Respondent(s): Bruce Boyle, Lawrence Zelin, Thomas Diamante
Respondent Lawyers(s): Charles M. O'Rourke
Arbitrator(s): Jonathan B. Gilbert
Hearing Site: Des Moines, IA
| | Expungement |
| 21-00409 | 01/10/2022 | Claimant(s): Bob Paskoski
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Next Financial Group.
Respondent Lawyers(s): John Hitchings
Arbitrator(s): Howard L. Sobel, Mark Stuart Gottlieb, Melissa L Steinberg
Hearing Site: New York, NY
| | Dismissed by Rule 12206 |
| 21-00393 | 01/07/2022 | Claimant(s): John Mustillo
Claimant Lawyers(s): Michael Hill
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Irisa Chen
Arbitrator(s): Annamaria Boccia Smith
Hearing Site: Jersey City, NJ
| | Expungement |
| 21-00988 | 01/07/2022 | Claimant(s): Bettie Sam, Sidney Sam
Claimant Lawyers(s): Bettie Jean Sam
Respondent(s): Angela Leister, Elias Davis, Erin Minerd, J.P. Morgan Securities, Matthew Simpson, Robert Weiss, Wayne White
Respondent Lawyers(s): Ali I. Haque, Michael A. Gross
Arbitrator(s): Brian James Tagtmeier
Hearing Site: Houston, TX
| | $300 |
| 21-01206 | 01/06/2022 | Claimant(s): Jose Batista
Claimant Lawyers(s): August M. Iorio
Respondent(s): Robinhood Financial., Robinhood Securities
Respondent Lawyers(s): Dominick F. Evangelista
Arbitrator(s): John James McGovern
Hearing Site: Hartford, CT
| | $29,611 |
| 21-00021 | 01/06/2022 | Claimant(s): Dierdre Hallick, Mark Hallick
Claimant Lawyers(s): Jason J. Kane
Respondent(s): Securities America., Investacorp Inc., Stephen Lawler, First Allied Securities.
Respondent Lawyers(s): Justin Sacca, Sean T. Needham
Arbitrator(s): Leonard Arthur Nelson, Jonathan B. Gilbert, Stuart W. Smith
Hearing Site: Chicago, IL
| | Dismissed by Rule 12206 |
