| 20-01181 | 08/20/2021 | Claimant(s): Brandon Dabdoub, McKenzee Dabdoub
Claimant Lawyers(s): Lance C. Arney
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Jeffery D. Rodgers
Arbitrator(s): Thomas A. Martin, G. Maynard Green, Andrea Joan Douglas
Hearing Site: Houston, TX
|  | Expungement |
| 20-01035 | 08/20/2021 | Claimant(s): Elizabeth Bennett, Samuel Bennett
Claimant Lawyers(s): Jeffrey B. Kaplan
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David L. Goldberg
Arbitrator(s): Raymond P. Buschmann, Marcia Bonita Gevers, Alexis Anne Washa
Hearing Site: Chicago, IL
| | $0 |
| 20-03493 | 08/19/2021 | Claimant(s): Ryan Szamosszegi
Claimant Lawyers(s): Ryan Szamosszegi
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Kendra S. Canape
Arbitrator(s): Edward Banian, Robert E. Jenks, H. Stuart Waxman
Hearing Site: Los Angeles, CA
| | Dismissed by Rule 12212 |
| 19-02155 | 08/17/2021 | Claimant(s): Robert Crane
Claimant Lawyers(s): Daniel D'Costa
Respondent(s): Christopher Nelson, Craig Sherman, Joseph Thurnherr, Robert Calamunci, Wynston Hill Capital
Respondent Lawyers(s): Christopher Joseph Nelson, David A. Allen, Joseph Morris Thurnherr, Paul Goodman
Arbitrator(s): David Evans Rosedahl, Avery B. Goodman, Mark A. Frankel
Hearing Site: Des Moines, IA
| | $478,477 |
| 20-01434 | 08/16/2021 | Claimant(s): Harriet Zisman Trust DTD 12/23/1997
Claimant Lawyers(s): Joshua A. Katz
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Nicola Murphy
Arbitrator(s): Steven Gerard Goerke
Hearing Site: Boca Raton, FL
| | Expungement |
| 21-00596 | 08/16/2021 | Claimant(s): Robert Rendzio
Claimant Lawyers(s): Robert J. Rendzio
Respondent(s): Spiros Stefanatos, Allied Millennial Partners
Respondent Lawyers(s): Robert M. Bursky
Arbitrator(s): G. Maynard Green
Hearing Site: Birmingham, AL
| | $0 |
| 19-03721 | 08/13/2021 | Claimant(s): Michael Rosenberg
Claimant Lawyers(s): Courtney Werning
Respondent(s): Hightower Securities
Respondent Lawyers(s): David C. Peet
Arbitrator(s): Anthony Michael Sabino, Terrance J. Nolan, Edmund Timothy Donovan
Hearing Site: New York, NY
| | $163,201 |
| 19-01081 | 08/13/2021 | Claimant(s): Zenith Trust
Claimant Lawyers(s): Christopher J. Gray
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Peter G. Wilson
Arbitrator(s): Perry Lee Taylor, Walter William Harness, George Pinckney Shingler
Hearing Site: Atlanta, GA
| | $0 |
| 20-03752 | 08/13/2021 | Claimant(s): Barbara Sopkin, Brummel Trust
Claimant Lawyers(s): Barbara Sopkin
Respondent(s): Interactive Brokers LLC
Respondent Lawyers(s): Katherine L. Schuerman
Arbitrator(s): Martin A. Feigenbaum, Barth Satuloff, Pamela Jane Weinroth
Hearing Site: Boca Raton, FL
| | $0 |
| 21-00395 | 08/13/2021 | Claimant(s): Michelle Legatzke IRA
Claimant Lawyers(s): David Liebrader
Respondent(s): TD Ameritrade Clearing., TD Ameritrade.
Respondent Lawyers(s): Erinn M. Maguire
Arbitrator(s): Laurel Littman Gothelf, Peter H. Daly, Lesley Ann Troope
Hearing Site: Reno, NV
| | Dismissed by Rule 12206(b) |
