| 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 |
