| 21-00483 | 09/17/2021 | Claimant(s): Rodney Klein
Claimant Lawyers(s): Rodney Seth Klein
Respondent(s): Bryan Schon
Respondent Lawyers(s): Irisa Chen
Arbitrator(s): Harvey R. Linder
Hearing Site: Nashville, TN
|  | $213 |
| 21-01035 | 09/17/2021 | Claimant(s): Erguis Mertiri
Claimant Lawyers(s): Erguis Mertiri
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Adam A. Brown
Arbitrator(s): Robert Elliot Harrison
Hearing Site: New York, NY
| | $0 |
| 19-02734 | 09/16/2021 | Claimant(s): Patrick Taylor
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Dennis Murphy, Jamaal Potter, James Webb, Cape Securities Inc.
Respondent Lawyers(s): Dennis James Murphy, Jamaal Nathan Potter, Judy A. Newcomb
Arbitrator(s): John R. Loss
Hearing Site: Kansas City, MO
| | $57,035 |
| 20-02623 | 09/16/2021 | Claimant(s): FPP CIS Opportunities Fund, L.P.
Claimant Lawyers(s): Samuel J. Lieberman
Respondent(s): Interactive Brokers LLC
Respondent Lawyers(s): David Luger
Arbitrator(s): Judith C. Zerden, Kinchen C. Bizzell, Lawrence Williams
Hearing Site: New York, NY
| | $1,881,500 |
| 19-02550 | 09/15/2021 | Claimant(s): Harriet Ferber 2012 Family Trust
Claimant Lawyers(s): Jacob H. Zamansky
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Patrick M. Smith
Arbitrator(s): Samuel Olutola Akeju, G. Dennis Sheehan, William James Smith
Hearing Site: Houston, TX
| | $358,131 |
| 20-01958 | 09/15/2021 | Claimant(s): Ernest Guenin, Monique Guenin
Claimant Lawyers(s): Peter M. Good
Respondent(s): Joseph Trifiletti, Stephen Distante, Stephen Trask, Steven Howe, Thomas Murphy, Vanderbilt Securities
Respondent Lawyers(s): Charles M. O'Rourke
Arbitrator(s): Diane Ciccone, Gregory J. Spadea, Peter George Erdely
Hearing Site: Philadelphia, PA
| | $200,000 |
| 20-04089 | 09/15/2021 | Claimant(s): Michael Braun
Claimant Lawyers(s): Michael Braun
Respondent(s): Guggenheim Funds Distributors
Respondent Lawyers(s): Christopher Antonow
Arbitrator(s): Philip J. Glick, Gerald W. Hepp, David E. Bailey
Hearing Site: Indianapolis, IN
| | Dismissed by Rule 12504(a)(6)(A) |
| 20-03380 | 09/14/2021 | Claimant(s): Randal Kertzman
Claimant Lawyers(s): Lars Soreide
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Thomas Barnett
Arbitrator(s): Paul Lansing
Hearing Site: Indianapolis, IN
| | Expungement |
| 20-03620 | 09/14/2021 | Claimant(s): Marketing Concepts Group 401(K) & Profit
Claimant Lawyers(s): Donald A. Murday
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Heidi E. VonderHeide
Arbitrator(s): Leonard Arthur Nelson
Hearing Site: Chicago, IL
| | $8,130 |
| 20-03487 | 09/13/2021 | Claimant(s): Judy Block, Frances Norman Block Trust
Claimant Lawyers(s): Kevin P. Conway
Respondent(s): Morgan Stanley, Robert Ruffo
Respondent Lawyers(s): Abigail Elrod
Arbitrator(s): Paul C. Kurland, Laura Carraher, Rory M. McLaughlin
Hearing Site: New York, NY
| | Expungement |
