| 19-02688 | 08/12/2021 | Claimant(s): Deborah Koch, Kenneth Koch, Deborah J. Koch Roth IRA, Kenneth Koch II IRA, Kenneth Koch II Roth IRA, Koch Holdings LLLP
Claimant Lawyers(s): Dietrich Epperson
Respondent(s): Raymond James Financial Services., Monica Baldwin
Respondent Lawyers(s): Katherine L. Handy
Arbitrator(s): Marilyn R. Lewis, Deanna M. Tuley, Julia Yael Ramos
Hearing Site: Cheyenne, WY
|  | $165,000 |
| 19-02405 | 08/11/2021 | Claimant(s): Estate of Joseph A. Muff
Claimant Lawyers(s): Gail E. Boliver
Respondent(s): Woodbury Financial Services., Hartford Funds Distributors
Respondent Lawyers(s): Greg Curley, Keraya S. Jefferson
Arbitrator(s): Jack D. Elmquist, Alain Frecon, Michael Anthony Pysno
Hearing Site: Des Moines, IA
| | $100,000 |
| 20-01967 | 08/11/2021 | Claimant(s): Rocco Campanile, Rocco J. and Florence R. Campanile Trust
Claimant Lawyers(s): Kalju Nekvasil
Respondent(s): Berkley Badger
Respondent Lawyers(s): John R. Kiefner
Arbitrator(s): Nicholas John Taldone, Michael A Quintieri, Lee Harris Schillinger
Hearing Site: Tampa, FL
| | $188,868 |
| 21-00886 | 08/11/2021 | Claimant(s): Michael Biggiani
Claimant Lawyers(s): Michael Biggiani
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): George Pinckney Shingler
Hearing Site: Atlanta, GA
| | $0 |
| 19-02285 | 08/10/2021 | Claimant(s): Steeler Capital LLC
Claimant Lawyers(s): Lawrence V. Carra
Respondent(s): Brian Frank, Ascendant Alternative Strategies
Respondent Lawyers(s): K. B. Battaglini
Arbitrator(s): Philip M. Mandel, Steven Gary Leventhal, Leslie Conason
Hearing Site: New York, NY
| | Expungement |
| 19-03835 | 08/10/2021 | Claimant(s): Fred Militello, Jeannette Militello, Daniella Militello, Giuliano Militello, Matthew Militello
Claimant Lawyers(s): William N. Butler
Respondent(s): Brandon Williams
Respondent Lawyers(s): Brandon J. Williams
Arbitrator(s): Thomas J. Dolina, Alan Robert Malasky, Catherine Esther Bocskor
Hearing Site: Baltimore, MD
| | $0 |
| 19-02822 | 08/06/2021 | Claimant(s): Constantine Cristo
Claimant Lawyers(s): Constantine Gus Cristo
Respondent(s): Charles Schwab & Co.., Charles Schwab Bank, Charles Schwab Corporation, Charles Schwab Investment Management Inc, Schwab Holdings.
Respondent Lawyers(s): Stacey M. Garrett
Arbitrator(s): Robert Rosen, Sally G. Williams, Thomas L. Marshall
Hearing Site: San Diego, CA
| | $0 |
| 19-03164 | 08/06/2021 | Claimant(s): Timothy Jackson
Claimant Lawyers(s): Timothy Wayne Jackson
Respondent(s): Prudential Annuities Distributors
Respondent Lawyers(s): Sarah M. Mancuso
Arbitrator(s): Gregory P. Szuter
Hearing Site: Cleveland, OH
| | $225 |
| 20-03698 | 08/06/2021 | Claimant(s): Tobias Lenza
Claimant Lawyers(s): Anthony A. Lenza
Respondent(s): TD Ameritrade Clearing., TD Ameritrade.
Respondent Lawyers(s): David S. Richan
Arbitrator(s): Mary Julia O'Connell, Hashim Ghadiali, John Warner Lowe
Hearing Site: New York, NY
| | $0 |
| 21-00646 | 08/05/2021 | Claimant(s): Erin Elskes, Javier Sanchez Nieto
Claimant Lawyers(s): Erin E Elskes, Javier Sanchez Nieto
Respondent(s): Amy Blodgett, Ameritas Advisory Services
Respondent Lawyers(s): Amir Tadjedin
Arbitrator(s): Jonathan H. Krotinger
Hearing Site: San Francisco, CA
| | $20,703 |
