| 20-01639 | 10/06/2021 | Claimant(s): Judith Cohen, MaxTrustDtd1/16/97 an AZ RvcbleLvgTrust
Claimant Lawyers(s): Jonah Toleno
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Donald Corbett
Arbitrator(s): Timothy J. Kroll, Floyd Gerry Hoffman, Ronald Stewart Ripley
Hearing Site: Phoenix, AZ
|  | $0 |
| 21-01255 | 10/06/2021 | Claimant(s): Catherine Davis, Catherine C. Davis Trust
Claimant Lawyers(s): Catherine C. Davis
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Jeffery D. Rodgers
Arbitrator(s): Carl E. Ver Beek
Hearing Site: Minneapolis, MN
| | $43,296 |
| 19-02274 | 10/05/2021 | Claimant(s): Hanala Sagal
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Elizabeth H. Lindh
Arbitrator(s): Nancy G. Harris, Thomas R. Watkins, Robert C. Albini
Hearing Site: Los Angeles, CA
| | $355,865 |
| 21-01183 | 10/05/2021 | Claimant(s): Mohammad Naser
Claimant Lawyers(s): Nathan C. Volheim
Respondent(s): Robinhood Financial.
Respondent Lawyers(s): Frank J. Cuccio
Arbitrator(s): Ray J. Grzebielski
Hearing Site: Chicago, IL
| | $0 |
| 19-02790 | 10/04/2021 | Claimant(s): Bryan Bernard
Claimant Lawyers(s): Michael L. Forman
Respondent(s): Douglas Williams, Edward Jones
Respondent Lawyers(s): Donald R. Littlefield
Arbitrator(s): John Kenneth Popham
Hearing Site: Dallas, TX
| | $0 |
| 20-02914 | 10/01/2021 | Claimant(s): Ronald Lane, The Ronald W. Lane Rollover IRA
Claimant Lawyers(s): Ronald W. Lane
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Mary M. O'Neil
Hearing Site: Los Angeles, CA
| | Expungement |
| 21-00780 | 10/01/2021 | Claimant(s): Seamus and Ann Ryan
Claimant Lawyers(s): Seamus Ryan
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): Jack Friedman
Hearing Site: New York, NY
| | $225 |
| 21-01182 | 10/01/2021 | Claimant(s): Rame Doleh
Claimant Lawyers(s): Nathan C Volheim
Respondent(s): Robinhood Financial.
Respondent Lawyers(s): Frank J. Cuccio
Arbitrator(s): Thomas P. Valenti
Hearing Site: Chicago, IL
| | $88 |
| 19-02152 | 09/30/2021 | Claimant(s): David M. Bush and Lesly S. Bush
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Mid Atlantic Capital Corporation
Respondent Lawyers(s): Derek C. Anderson
Arbitrator(s): Alden Sharp Adkins, Gary Kostow, Robert James Favole
Hearing Site: San Francisco, CA
| | $240,562 |
| 19-03307 | 09/30/2021 | Claimant(s): Brian Dornellas
Claimant Lawyers(s): David Liebrader
Respondent(s): George Schmidt
Respondent Lawyers(s): Robert S. Larsen
Arbitrator(s): Barbara M. Zak, Mary M. O'Neil, Robert E. Jenks
Hearing Site: Las Vegas, NV
| | $525,000 |
