| 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 |
