| 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 |
| 20-03577 | 06/22/2021 | Claimant(s): Robert Caswell
Claimant Lawyers(s): Kevin P. Krupnick
Respondent(s): Lawrence Fawcett
Respondent Lawyers(s): Lawrence John Fawcett
Arbitrator(s): Jonathan B. Gilbert
Hearing Site: Des Moines, IA
| | $0 |
| 20-01913 | 06/21/2021 | Claimant(s): Jeremy McDonald
Claimant Lawyers(s): Kyle M Kulzer
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Amanda H. Wright
Arbitrator(s): Mark A. Myers, Clarence H. Hampton, Stephanie Hunter
Hearing Site: Birmingham, AL
| | $0 |
| 21-00465 | 06/21/2021 | Claimant(s): Rupesh Parajuli
Claimant Lawyers(s): Rupesh Parajuli
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Brandon K. Hemley
Arbitrator(s): Diane Ciccone
Hearing Site: Hartford, CT
| | $600 |
| 20-00961 | 06/18/2021 | Claimant(s): Theresa McTague
Claimant Lawyers(s): William Pete Nacy
Respondent(s): James Louderbaugh, Oppenheimer & Co..
Respondent Lawyers(s): Nicola A. Murphy
Arbitrator(s): Mark L. Williams, Karen Roberts Washington, Robert G Cass
Hearing Site: Oklahoma City, OK
| | Expungement |
| 19-02141 | 06/18/2021 | Claimant(s): Osiris Pared
Claimant Lawyers(s): Osiris Anthony Pared
Respondent(s): Carmen Trigo Suarez, Santander Securities LLC, Marko Rendic
Respondent Lawyers(s): Carmen Georgina Trigo Suarez, Frances Pesquera, Mauricio O. Muniz Luciano
Arbitrator(s): Robert G. Bannon, Ronald Childress, William G Brown
Hearing Site: San Juan, PR
| | Dismissed by Rule 12206 |
| 21-00374 | 06/18/2021 | Claimant(s): David White
Claimant Lawyers(s): David White
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith F. Hoffman
Arbitrator(s): Karl A. Vogeler
Hearing Site: Jackson, MS
| | $31,735 |
| 20-03545 | 06/16/2021 | Claimant(s): Adam Padro
Claimant Lawyers(s): Adam Padro
Respondent(s): BB&T Securities
Respondent Lawyers(s): Frederick S. Schrils
Arbitrator(s): James Gregory Yawman, DeAndra Roache, George Thomas Doran
Hearing Site: Baltimore, MD
| | $0 |
| 20-00193 | 06/14/2021 | Claimant(s): Gerellen Joneson
Claimant Lawyers(s): James N Thomaidis
Respondent(s): Mark Haenny, Matthew Hickey, First Allied Securities.
Respondent Lawyers(s): Derek C. Anderson
Arbitrator(s): Steven Meyrich, Steven M. Feder, Mary C. Davis
Hearing Site: Denver, CO
| | Expungement |
| 20-02349 | 06/14/2021 | Claimant(s): James Gallagher Rollover IRA, James and Donna Gallagher
Claimant Lawyers(s): James J. Gallagher
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Frank J. Cuccio
Arbitrator(s): Veronica Ann Williams, Howard Alan Grinsberg, Phillip Michael Brown
Hearing Site: Jersey City, NJ
| | $0 |
