| 20-03814 | 07/16/2021 | Claimant(s): Thomas Keidel
Claimant Lawyers(s): Thomas Keidel
Respondent(s): David Lerner Associates., Patrick Perugino
Respondent Lawyers(s): Joseph C. Pickard, Patrick A. Perugino
Arbitrator(s): Sean Alan D'Amico
Hearing Site: Hartford, CT
|  | $6,428 |
| 19-03726 | 07/16/2021 | Claimant(s): Cynthia Lambert
Claimant Lawyers(s): Cynthia Lambert
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Melissa J. Gworek
Arbitrator(s): Martin Samuel Altimore, Brian James Tagtmeier, Bartlett Michael Sheinberg
Hearing Site: Houston, TX
| | $0 |
| 20-01385 | 07/16/2021 | Claimant(s): James Meeker, Dorothy Lorentzen Trust, James Meeker Discretionary Trust
Claimant Lawyers(s): Judd R. Spray
Respondent(s): Jeffrey Sullivan, Steven Ayer, HighTower Advisors, Hightower Securities
Respondent Lawyers(s): Meghan E. Flinn
Arbitrator(s): Sandra D. Parker, Paul Bennett Marrow, Brian John Gallagher
Hearing Site: New York, NY
| | $425 |
| 19-01459 | 07/15/2021 | Claimant(s): PGPG LLC
Claimant Lawyers(s): Jeffrey N. Goldberg
Respondent(s): Charles Schwab & Co.., Charles Schwab Futures.
Respondent Lawyers(s): Joseph L. Siders
Arbitrator(s): Olivia J. Valentine, Michael R. Diliberto, Brenda Lee James
Hearing Site: Los Angeles, CA
| | Expungement |
| 18-03313 | 07/14/2021 | Claimant(s): Mary Krill-Eriksen
Claimant Lawyers(s): Dennis Murray
Respondent(s): Brian Lehner
Respondent Lawyers(s): Scott Matasar
Arbitrator(s): Jeffrey M. Bain, Eileen B. Vernon, William Joseph Baker
Hearing Site: Cleveland, OH
| | Expungement |
| 21-00124 | 07/14/2021 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Jonathan D Berg
Respondent(s): Thanh Nguyen
Respondent Lawyers(s): Thanh Nguyen
Arbitrator(s): Thomas A. Martin
Hearing Site: Houston, TX
| | $0 |
| 19-01892 | 07/13/2021 | Claimant(s): Susan Gordon Neal
Claimant Lawyers(s): Adam J. Stewart
Respondent(s): David Reynolds, Steven Wright, Principal Securities.
Respondent Lawyers(s): David Lee Reynolds, Kathryn Roe Eldridge
Arbitrator(s): Ralph A. Cotton, Juleanne (Julie) A. Thiebaut, Stanley Data
Hearing Site: San Francisco, CA
| | Expungement |
| 19-00822 | 07/12/2021 | Claimant(s): James Collins
Claimant Lawyers(s): Adam M. Green
Respondent(s): Stephen DeCesare, Triad Advisors LLC
Respondent Lawyers(s): Brian A. Carlis, James A. McGovern
Arbitrator(s): Julie K. Chapin, Mary S. Wyatte, Anne O'Connell Umbrecht
Hearing Site: Philadelphia, PA
| | Expungement |
| 19-00961 | 07/12/2021 | Claimant(s): Carolyn Long
Claimant Lawyers(s): Jason R. Doss
Respondent(s): Peter Schiff, A.G.P. / Alliance Global Partners
Respondent Lawyers(s): David A. Gehn
Arbitrator(s): Michael S. Yauch, Wayne Irwin Fagan, Esther Treneer
Hearing Site: Houston, TX
| | Expungement |
| 21-00230 | 07/09/2021 | Claimant(s): Austin Jones
Claimant Lawyers(s): Austin Jones
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Kevin H. Lewis
Arbitrator(s): Joyce A. Mitchell
Hearing Site: Washington, DC
| | $38 |
