20-01542 | 01/05/2022 | Claimant(s): Jennifer D. Port as Trustee, Lawrence A. Savarese, Jr. as Trustee Claimant Lawyers(s): Edward H. Glenn Respondent(s): Raymond, James & Associates. Respondent Lawyers(s): George D. Sullivan Arbitrator(s): Herbert Branitsky, Mitchell Stephen Feig, Margo Leslie Green Hearing Site: Boca Raton, FL
| | Expungement |
21-02174 | 01/05/2022 | Claimant(s): Bryan Forstman Claimant Lawyers(s): David Vermont Respondent(s): Worden Capital Management LLC, Jamie Worden Respondent Lawyers(s): Jamie John Worden Arbitrator(s): Mary Elizabeth Skelnik Hearing Site: Birmingham, AL
| | $7,100 |
21-00134 | 01/03/2022 | Claimant(s): Adoracion Estanislao Claimant Lawyers(s): Kevin P. Conway Respondent(s): Fidelity Brokerage Services LLC, Steven Boschert Respondent Lawyers(s): Joseph L. Calabrese Arbitrator(s): Martin Mushkin, Charles F. Titterton, Howard Alan Grinsberg Hearing Site: New York, NY
| | $0 |
19-02676 | 12/31/2021 | Claimant(s): Walter Converse Claimant Lawyers(s): Bradley D Schnur Respondent(s): Clifford Reid, Reid & Rudiger LLC Respondent Lawyers(s): Joel S. Forman Arbitrator(s): Tina E. Patterson, Dawn M. Antalik-Baker, Daniel F. Piar Hearing Site: Charlotte, NC
| | Expungement |
20-03279 | 12/31/2021 | Claimant(s): Jamie Taylor Claimant Lawyers(s): D. Daxton White Respondent(s): Concorde Investment Services Respondent Lawyers(s): Scott Holcomb Arbitrator(s): Michele Renee Zinn, Michael James Whinihan, Suzanne L. Ulicny Hearing Site: Detroit, MI
| | Expungement |
19-01813 | 12/31/2021 | Claimant(s): Dale Hadel, Global Technology., Dale Hadel Family Trust Claimant Lawyers(s): Mark Kowalsky Respondent(s): Ameriprise Financial Services Respondent Lawyers(s): Edward Walton Arbitrator(s): Patrick R. Sughroue, Earlene R. Baggett-Hayes, Dale Frederick Feigley Hearing Site: Detroit, MI
| | $0 |
19-00603 | 12/30/2021 | Claimant(s): Philip Sims, Philip D. Sims IRA Claimant Lawyers(s): Robert H. Rex Respondent(s): McNally Financial Services Corporation Respondent Lawyers(s): Gary S. Kessler Arbitrator(s): Thomas A. Martin, Jack Chapline Vaughan, Camille Morris Tankersley Hearing Site: Houston, TX
| | Expungement |
19-02728 | 12/30/2021 | Claimant(s): David Farrell, Holly Farrell Claimant Lawyers(s): Samuel Bonderoff Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Melissa Gworek Arbitrator(s): Andrea U. Calve, Karen Roberts Washington, Don G Miller Hearing Site: Dallas, TX
| | $0 |
21-00074 | 12/29/2021 | Claimant(s): Xiujuan Zhu Roth IRA, Zhiming Lu Roth IRA Claimant Lawyers(s): Michael Hill Respondent(s): Royal Alliance Associates. Respondent Lawyers(s): Greg Curley Arbitrator(s): Adam Michael Porter Hearing Site: Denver, CO
| | $30,225 |
18-01055 | 12/28/2021 | Claimant(s): Bennie Carmain, Gary Bridgers, John Daniels, John Eversgerd, Lawrence Clarke, Richard Myers, Russell Cascardo, Viktor Prozapas, AGS Underground, Tayskasi Oy, Ettinger Family Trust Claimant Lawyers(s): Jennifer Tarr Respondent(s): Kevin Harms, Yousuf Saljooki Respondent Lawyers(s): Kevin Charles Harms, Yousuf Saljooki Arbitrator(s): Joseph J. Arata, Rory M. McLaughlin, Jerome M Shafer Hearing Site: New York, NY
| | $792,117 |