20-00007 | 03/05/2021 | Claimant(s): Ruth Hallett Claimant Lawyers(s): Ruth Hallett Respondent(s): Martin Moy, Citigroup Global Markets. Respondent Lawyers(s): Adam Kauff Arbitrator(s): Elizabeth Gilbert Hearing Site: New York, NY
| | $0 |
19-02741 | 03/04/2021 | Claimant(s): Jonathan Siegel Claimant Lawyers(s): Bradford M. Gucciardo Respondent(s): Ameriprise Financial Services Respondent Lawyers(s): Timothy N. Will Arbitrator(s): Edith N. Dinneen, Kenneth M. Weinman, Michael John Florio Hearing Site: Los Angeles, CA
| | Expungement |
20-01187 | 03/04/2021 | Claimant(s): Therese Fleming, Therese Fleming IRA Claimant Lawyers(s): Kirk G. Smith Respondent(s): Raymond, James & Associates. Respondent Lawyers(s): Linda Broocks Arbitrator(s): Daniel J. Pagnano Hearing Site: Houston, TX
| | Expungement |
19-01172 | 03/04/2021 | Claimant(s): Shirley Cummings Claimant Lawyers(s): Eric Liebman Respondent(s): Charles Schwab & Co.. Respondent Lawyers(s): Kevin H. Lewis Arbitrator(s): Michael F. Jordan, Steven Meyrich, Barry A. Fisher Hearing Site: Denver, CO
| | $0 |
17-01065 | 03/03/2021 | Claimant(s): Edwina Downum, Patty Berryhill, Winn King Claimant Lawyers(s): Micah Satterwhite Respondent(s): Nancy De Leeuw, Perry De Leeuw Respondent Lawyers(s): Nancy Elaine De Leeuw, Perry De Leeuw Arbitrator(s): Ann Blaess Kimball, Edward S. Koppman, Joseph Neal Richardson Hearing Site: Dallas, TX
| | $0 |
20-00402 | 03/02/2021 | Claimant(s): John Miller Claimant Lawyers(s): John Stephen Miller Respondent(s): David Miller, Eric Burnette, Shelley Eddy, Peachcap Securities. Respondent Lawyers(s): Gregg J. Breitbart Arbitrator(s): Gerald Thomas Harper Hearing Site: Orlando, FL
| | $213 |
20-00549 | 02/27/2021 | Claimant(s): Kevin A. McIntyre Rollover IRA Claimant Lawyers(s): Kevin A. McIntyre Respondent(s): Kevin McIntyre, TD Ameritrade. Respondent Lawyers(s): John Stewart, Kevin A. McIntyre Arbitrator(s): William Barker Brown, James P. Kinkade, Mollie Wagner Neal Hearing Site: Atlanta, GA
| | $0 |
19-02953 | 02/26/2021 | Claimant(s): Madeleine Porcelli Claimant Lawyers(s): Jeffrey B. Kaplan Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): David L. Goldberg Arbitrator(s): Mary P. Bass, Robert E. Riccobono, Lawrence Williams Hearing Site: New York, NY
| | $0 |
20-01540 | 02/26/2021 | Claimant(s): Alison Hawk, Robert Hawk Claimant Lawyers(s): Robert Frank Hawk Respondent(s): David Miller, Eric Burnette, Shelley Eddy, Peachcap Securities. Respondent Lawyers(s): Craig R. Glasser Arbitrator(s): Richard Jonathan Nikonovich-Kahn Hearing Site: Atlanta, GA
| | $300 |
20-03711 | 02/25/2021 | Claimant(s): Darcy Christopherson Claimant Lawyers(s): Darcy Christopherson Respondent(s): G1 Execution Services, GTS Securities LLC Respondent Lawyers(s): John C. Pickford, Paul McCurdy Arbitrator(s): Frederick Ramos Hearing Site: Minneapolis, MN
| | $300 |