| 21-03053 | 04/16/2024 | Claimant(s): Santa Rosa Rancheria Tachi Yokut Tribe
Claimant Lawyers(s): Ryan K. Bakhtiari
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Esther E. Cho
Arbitrator(s): Joseph Alfred Davis, Robert Rosen, Robert B. Hansohn
Hearing Site: Los Angeles, CA
|  | Expungement |
| 23-00170 | 04/16/2024 | Claimant(s): David Pogorelc
Claimant Lawyers(s): Christopher J. Major
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Andrew J. Melnick
Arbitrator(s): Howard N. Gorney, Jeff Spears, Stephen James McLaughlin
Hearing Site: Boston, MA
| | $0 |
| 23-00027 | 04/12/2024 | Claimant(s): McNaught Family Irrevocable Trust, Sharon Coan, Trustee
Claimant Lawyers(s): R. Sean McDonald
Respondent(s): Chad Carroll, Edward Jones
Respondent Lawyers(s): Donald R. Littlefield
Arbitrator(s): John Kenneth Popham
Hearing Site: Dallas, TX
| | Expungement |
| 21-02824 | 04/12/2024 | Claimant(s): Charlie Meredith
Claimant Lawyers(s): David A. Welling
Respondent(s): Morgan Stanley, Morgan Stanley & Co.
Respondent Lawyers(s): John P. Kincade
Arbitrator(s): Mark R. Lee, Gene S. Evenskaas, Randall B Christison
Hearing Site: San Diego, CA
| | Expungement |
| 23-01057 | 04/12/2024 | Claimant(s): Michael Lombardi
Claimant Lawyers(s): Alan S. Baskin
Respondent(s): David Sherwood, Greenberg Financial Group
Respondent Lawyers(s): Rachel K. Douglas
Arbitrator(s): Richard Kent Mahrle
Hearing Site: Phoenix, AZ
| | $102,559 |
| 23-02514 | 04/12/2024 | Claimant(s): Marcia Hardy
Claimant Lawyers(s): Marcia L. Hardy
Respondent(s): Abacus Investments.
Respondent Lawyers(s): Frederick E. Hohensee
Arbitrator(s): Lynn Hirschfeld Brahin
Hearing Site: Chicago, IL
| | $0 |
| 23-01375 | 04/10/2024 | Claimant(s): Michael Gregory
Claimant Lawyers(s): Michael Gregory
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Peter S. Fruin
Arbitrator(s): Lynn Hirschfeld Brahin
Hearing Site: St. Louis, MO
| | $0 |
| 21-01762 | 04/10/2024 | Claimant(s): Melvin Menke
Claimant Lawyers(s): Bradley D. Schnur
Respondent(s): Richard Coleman, William Brown, Richard James & Associates.
Respondent Lawyers(s): Frank Barravechia, Richard James Coleman, William Robert Brown
Arbitrator(s): Julius Z. Frager
Hearing Site: Louisville, KY
| | Dismissed by Rule 12511&12212© |
| 22-01942 | 04/09/2024 | Claimant(s): John Enderle, Marguerite Enderle, Nicholas Salerno
Claimant Lawyers(s): Joshua Kons
Respondent(s): Michael Dworetsky, Ages Financial Services, Ltd.
Respondent Lawyers(s): Kirsten Patzer
Arbitrator(s): Steven R. Rolnick, John J. Mager, Patrick Leo Kennedy
Hearing Site: Hartford, CT
| | Dismissed by Rule 12206 |
| 23-01919 | 04/09/2024 | Claimant(s): Cyrus Desai
Claimant Lawyers(s): Meher C. Desai
Respondent(s): William Young, Grove Point Investments
Respondent Lawyers(s): Garry T. Stevens, Jr., Richard A. D'Amura
Arbitrator(s): Christopher M. McMurray, Luba Shur, Kiran Nasir Gore
Hearing Site: Washington, DC
| | Dismissed by Rule 12206 |
