20-01019 | 02/24/2021 | Claimant(s): Henry Stern as Trustee Claimant Lawyers(s): Edward H. Glenn Respondent(s): Wells Fargo Clearing Services Respondent Lawyers(s): Nuviah Shirazi Arbitrator(s): Leslie L. Cooney, Paul J. Burkhart, Margo Denise Wright Hearing Site: Boca Raton, FL
| | Expungement |
20-01541 | 02/24/2021 | Claimant(s): Francis Hayden Claimant Lawyers(s): Gregory L. Smith Respondent(s): GWFS Equities. Respondent Lawyers(s): Ryan R. Baker Arbitrator(s): Jim Geiger Hearing Site: Louisville, KY
| | $300 |
20-03541 | 02/24/2021 | Claimant(s): Peter Nalewajk Claimant Lawyers(s): Peter Nalewajk Respondent(s): TD Ameritrade. Respondent Lawyers(s): James J. Vihstadt Arbitrator(s): Robert Titus Hearing Site: Providence, RI
| | $2,228 |
17-03513 | 02/23/2021 | Claimant(s): David Ball, Misako Ball, Sally Ball Claimant Lawyers(s): Richard B. Fosher Respondent(s): Sunset Financial Services. Respondent Lawyers(s): John Shaw Arbitrator(s): Leah Murray Albert, Joan M. Esserman, David E. Crawford Hearing Site: St. Louis, MO
| | $418,994 |
20-00248 | 02/23/2021 | Claimant(s): Scott Morse Claimant Lawyers(s): Adam D. Palmer Respondent(s): Mitchell Manoff, Richard Calabrese, Corinthian Partners, L.L.C. Respondent Lawyers(s): Mitchell (NMN) Manoff, Mitchell Manoff, Richard (NMN) Calabrese Arbitrator(s): Paul J. Burkhart Hearing Site: Boca Raton, FL
| | Expungement |
19-01630 | 02/22/2021 | Claimant(s): Manuel Diaz Claimant Lawyers(s): Luis E. Minana Respondent(s): National Financial Services LLC Respondent Lawyers(s): Carlos Bobonis-Gonzalez Arbitrator(s): Gloria O. North, Howard B. Scherer, Brian James Tagtmeier Hearing Site: San Juan, PR
| | Dismissed by Rule 12206(a) |
19-02917 | 02/22/2021 | Claimant(s): Sarah Ihrie Claimant Lawyers(s): Mark C. Santi Respondent(s): Interactive Brokers LLC, Vita Intellectus Respondent Lawyers(s): David Luger, Joshua Label Arbitrator(s): G. E. Craig Doupe, John M. Casey, David E. Crowe Hearing Site: Seattle, WA
| | $639,000 |
18-03103 | 02/19/2021 | Claimant(s): Mattie M. Kelly 908 Trust Claimant Lawyers(s): Bradford M. Gucciardo Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Keith Olin Arbitrator(s): Michael H. McConihe, Peter A. Roche, Mimi Vivien Turin Hearing Site: Boca Raton, FL
| | Dismissed by Rule 12212 |
20-01698 | 02/19/2021 | Claimant(s): Estate of George F. Kalil Claimant Lawyers(s): Tom Slutes Respondent(s): Wells Fargo Advisors Financial Network Respondent Lawyers(s): Paul Yarns Arbitrator(s): Marc Kalish, Jay Lawrence Witkin, Stephanie P. Lebhar Hearing Site: Phoenix, AZ
| | $0 |
20-01839 | 02/19/2021 | Claimant(s): Catherine Napolitano Claimant Lawyers(s): Ronald Filler Respondent(s): G.Distributors Respondent Lawyers(s): Peter D. Goldstein Arbitrator(s): Edward F. Zagajeski Hearing Site: New York, NY
| | $0 |