| 21-00601 | 06/29/2021 | Claimant(s): Nicholas Thompson
Claimant Lawyers(s): Nicholas Thompson
Respondent(s): Robinhood Financial.
Respondent Lawyers(s): Dominick F. Evangelista
Arbitrator(s): Gerald W. Hepp
Hearing Site: Indianapolis, IN
|  | $0 |
| 20-01526 | 06/25/2021 | Claimant(s): William Nelms
Claimant Lawyers(s): Lars Soreide
Respondent(s): Brian DiBrino, American Portfolios Financial Srvs.
Respondent Lawyers(s): Samuel E. Cohen
Arbitrator(s): James M. Baumann, Robert R. Salman, Edith M. Novack
Hearing Site: Jersey City, NJ
| | Expungement |
| 20-00472 | 06/25/2021 | Claimant(s): Barbara Giffuni
Claimant Lawyers(s): Phillip Gerschel
Respondent(s): David Korostoff
Respondent Lawyers(s): Frank J. Cuccio
Arbitrator(s): Fred S. Pieroni, Catherine Ladnier, Howard Alan Grinsberg
Hearing Site: New York, NY
| | Expungement |
| 20-02648 | 06/25/2021 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Garrett R. Wynne
Respondent(s): Clayton Wilson
Respondent Lawyers(s): Clayton Wilson
Arbitrator(s): Langdon T. Owen
Hearing Site: Denver, CO
| | $0 |
| 19-01333 | 06/24/2021 | Claimant(s): Linda Cassidy, The Estate of Anna Walson
Claimant Lawyers(s): Samuel M. Braverman
Respondent(s): Alexander Aiello, Wells Fargo Advisors Financial Network, Marc Barretta
Respondent Lawyers(s): Charles M. O'Rourke, Michael Naccarato
Arbitrator(s): Fred S. Pieroni, John A. Scudiero, Paul Allan Massaro
Hearing Site: Jersey City, NJ
| | $0 |
| 20-02218 | 06/23/2021 | Claimant(s): Gregory Zeifman
Claimant Lawyers(s): David C. Silver
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Amy B. Bard
Arbitrator(s): Joseph A. Vallo, Martin A. Feigenbaum, Gloria O. North
Hearing Site: Boca Raton, FL
| | Expungement |
| 21-00416 | 06/23/2021 | Claimant(s): Sigve Mauritzen
Claimant Lawyers(s): Sigve Mauritzen
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Amanda Wright
Arbitrator(s): Arthur Neil Tolciss
Hearing Site: New York, NY
| | $0 |
| 21-00619 | 06/23/2021 | Claimant(s): Richardvon Pey
Claimant Lawyers(s): Richardvon Pey
Respondent(s): Robinhood Financial.
Respondent Lawyers(s): Dominick F. Evangelista
Arbitrator(s): Jonathan H. Krotinger
Hearing Site: San Francisco, CA
| | $0 |
| 18-02447 | 06/22/2021 | Claimant(s): Tupper Briggs
Claimant Lawyers(s): Jason J. Kane
Respondent(s): VSR Financial Services., Robert Burns, Summit Brokerage Services.
Respondent Lawyers(s): Derek C. Anderson
Arbitrator(s): Steven Meyrich, Donald N. Tolin, Deanna M. Tuley
Hearing Site: Denver, CO
| | Expungement |
| 19-03548 | 06/22/2021 | Claimant(s): Jefferson Davis
Claimant Lawyers(s): Thomas P. Willcutts
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Anya N. Thepot
Arbitrator(s): Samuel H. Chorches
Hearing Site: Providence, RI
| | $0 |
