| 20-00604 | 11/01/2021 | Claimant(s): James Rader
Claimant Lawyers(s): Kalju Nekvasil
Respondent(s): Capital Financial Services.
Respondent Lawyers(s): Carina Koble
Arbitrator(s): Robert H. Putnam, Yaminah Childress, Jeffrey Kimar Coleman
Hearing Site: Atlanta, GA
|  | $194,404 |
| 20-02358 | 10/29/2021 | Claimant(s): Aprile Holland, Ene-Tea Bloom, Jane Thompson, Kevin Harden, Linda Brooks, Suzana Williams, William Farrelly, The Estate of Charles Wayne Lumsden, The Estate of John Francis Crosbie
Claimant Lawyers(s): David A. Bain
Respondent(s): Bart Bohrer, Donald Pollard, Gordon Dihle, Capital Financial Holdings., Capital Financial Services.
Respondent Lawyers(s): Michael Stegawski
Arbitrator(s): Joe E. Manuel, Larry Kenneth Lott, Larry R Armstrong
Hearing Site: Atlanta, GA
| | $755,723 |
| 20-00852 | 10/29/2021 | Claimant(s): Mark Burgess, Mitchell Burgess
Claimant Lawyers(s): Alan L. Rosca
Respondent(s): Geneos Wealth Management.
Respondent Lawyers(s): Victoria H. Buter
Arbitrator(s): James C. Morrow, Karen Roberts Washington, David W White
Hearing Site: Kansas City, MO
| | Expungement |
| 20-00275 | 10/29/2021 | Claimant(s): Michal Marczyk
Claimant Lawyers(s): Jon A. Jacobson
Respondent(s): Lime Brokerage
Respondent Lawyers(s): James L. Kopecky
Arbitrator(s): Seth L. Finkel, Justin M. Moore, Jeff Cappelletti
Hearing Site: Boca Raton, FL
| | $0 |
| 20-03160 | 10/29/2021 | Claimant(s): Matthew Simmons
Claimant Lawyers(s): Matthew Simmons
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Edward W. Morris
Hearing Site: Boston, MA
| | $0 |
| 20-04040 | 10/29/2021 | Claimant(s): Dorothy Head, Hamza Hussain, Jacob Meredith, Joel Yambo-Torres, Kapil Bajaj, Kevin Jahed, Michelle Mullikin, Peter Barker, Robert Head, Serhiy Musyakevych, Vasudeva Manepalli
Claimant Lawyers(s): Jeff M. Meyerson
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): Michael S. Yauch, Francis Joseph Bourgeois, Dwayne Nealy McClelland
Hearing Site: Houston, TX
| | $0 |
| 14-01134 | 10/28/2021 | Claimant(s): Juan Trinidad-Garcia, Juan Felix Trinidad-Rodriguez
Claimant Lawyers(s): Eric Quetglas-Jordan
Respondent(s): Popular Securities
Respondent Lawyers(s): Alan M. Wolper
Arbitrator(s): Langfred W. White, Gloria O. North, Jane A. Smith
Hearing Site: San Juan, PR
| | $6,876,100 |
| 19-00994 | 10/27/2021 | Claimant(s): Francesco Umbriaco
Claimant Lawyers(s): Christopher B. Jones
Respondent(s): Allen Wagner, Wells Fargo Advisors Financial Network
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): Jim Geiger, Thomas R Nathan, Jason L Pearlman
Hearing Site: Philadelphia, PA
| | Expungement |
| 17-00265 | 10/27/2021 | Claimant(s): Evelyn Wurm, Paul Wurm, Paul & Evelyn Wurm JTWROS
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Christopher Olson
Respondent Lawyers(s): Christopher Ronald Olson
Arbitrator(s): Mark S. Gleason
Hearing Site: Minneapolis, MN
| | $0 |
| 19-03052 | 10/26/2021 | Claimant(s): Marie Mesmer
Claimant Lawyers(s): Tiega Varlack
Respondent(s): Raymond James Financial Services., Ka Ki Leung
Respondent Lawyers(s): Chad E. Weaver
Arbitrator(s): Thomas D. Reese, William W. Haskell, David I. Levine
Hearing Site: San Francisco, CA
| | $0 |
