| 20-01898 | 06/10/2021 | Claimant(s): Beth Bernstein, Beth A. Bernstein IRA, Bernstein-Jewell Family Living Trust
Claimant Lawyers(s): Robert H. Rex
Respondent(s): Berthel Fisher & Co. Financial Svcs. Inc
Respondent Lawyers(s): Peter J. McElligott
Arbitrator(s): Marc Kalish, William B. Morgan, Garnett Sailor
Hearing Site: Phoenix, AZ
|  | Dismissed by FINRA 12206 |
| 19-03332 | 06/08/2021 | Claimant(s): Martin Kaplan
Claimant Lawyers(s): Kyle M. Kulzer
Respondent(s): Next Financial Group.
Respondent Lawyers(s): Steven N. Fuller
Arbitrator(s): John Francis Markuns, Paula M. Bagger, Gail Sillman
Hearing Site: Boston, MA
| | Expungement |
| 19-03746 | 06/04/2021 | Claimant(s): Rex Wolfe
Claimant Lawyers(s): Samuel Edwards
Respondent(s): Carmine Berardi, Michael Leahy
Respondent Lawyers(s): Carmine Berardi, Michael Leahy
Arbitrator(s): Daniel D. Hill, Thomas D. Cordell, Mina Banerjee
Hearing Site: Houston, TX
| | $240,176 |
| 21-00207 | 06/04/2021 | Claimant(s): Trevor Starnes
Claimant Lawyers(s): Trevor Starnes
Respondent(s): Robinhood Financial.
Respondent Lawyers(s): Richard J. Davis
Arbitrator(s): Chandler R. Bridges
Hearing Site: Atlanta, GA
| | $0 |
| 19-02691 | 06/03/2021 | Claimant(s): Jadina Lilien
Claimant Lawyers(s): Elizabeth Goldman
Respondent(s): Morgan Stanley, Nancy Glassman
Respondent Lawyers(s): Andrew Gelfand
Arbitrator(s): Julian F. Santos
Hearing Site: New York, NY
| | Expungement |
| 20-04054 | 06/03/2021 | Claimant(s): Eileen Moody
Claimant Lawyers(s): John S. Moody
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Joseph L. Calabrese
Arbitrator(s): G. Maynard Green
Hearing Site: Houston, TX
| | Expungement |
| 20-03500 | 06/02/2021 | Claimant(s): Galit Dermer Trust, Galit Dermer Trustee
Claimant Lawyers(s): Michael S. Hill
Respondent(s): Laurence Goldstein, First Financial Equity Corporation
Respondent Lawyers(s): Jason L. Cassidy
Arbitrator(s): Donald Dreyfus
Hearing Site: Phoenix, AZ
| | Expungement |
| 19-02215 | 06/02/2021 | Claimant(s): John Gorsline, Susan Rhodes-Greene
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Next Financial Group.
Respondent Lawyers(s): John Hitchings
Arbitrator(s): Barry Goldman, Gerald W. Hepp, Joseph Maron Hanna
Hearing Site: Buffalo, NY
| | Expungement |
| 20-03697 | 06/02/2021 | Claimant(s): Dennis de Champeaux
Claimant Lawyers(s): Dennis de Champeaux
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Patrick S. Christensen
Arbitrator(s): Arocles Aguilar
Hearing Site: San Francisco, CA
| | $213 |
| 20-04192 | 06/01/2021 | Claimant(s): James Abonyi
Claimant Lawyers(s): James M. Abonyi
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Garrett R. Wynne
Arbitrator(s): Barbara M. Zak
Hearing Site: San Diego, CA
| | $88 |
