| 19-02519 | 02/17/2021 | Claimant(s): Teri Goettsche, Teri Goettsche IRA, The Gunter Trust
Claimant Lawyers(s): Richard Lewins
Respondent(s): Robert Messett
Respondent Lawyers(s): Jon M. Stanfield
Arbitrator(s): Nicole T. LeBoeuf, Robert L. Chisolm, Staci Lynette Glenn
Hearing Site: Dallas, TX
|  | Expungement |
| 20-01985 | 02/16/2021 | Claimant(s): Harry Appleby
Claimant Lawyers(s): Harry E. Appleby
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Kevin H. Lewis
Arbitrator(s): Joseph M. Rebein, Sherry L. Robinson, Karen Roberts Washington
Hearing Site: Kansas City, MO
| | $0 |
| 16-02549 | 02/12/2021 | Claimant(s): Guillermo Lopez Perez
Claimant Lawyers(s): Peter J. Mougey
Respondent(s): OFS Securities., Oriental Financial Services Corp.
Respondent Lawyers(s): Pedro Hernandez-Freire
Arbitrator(s): John G. Sciandra, Robert Sullivan Tyler, Erika Deutsch Rotbart
Hearing Site: San Juan, PR
| | $240,000 |
| 18-02661 | 02/12/2021 | Claimant(s): Louis Maryland, Louis Maryland Trust Estate, Louis Maryland Sec. 142 Trust
Claimant Lawyers(s): Craig K. Hemphill
Respondent(s): Julia Klammer, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Evan Way
Arbitrator(s): Daniel J. Pagnano, William Walter Cathriner, Tracie Jackson
Hearing Site: Houston, TX
| | Expungement |
| 18-02717 | 02/12/2021 | Claimant(s): Clifford Deeds
Claimant Lawyers(s): David Liebrader
Respondent(s): Duane Becker
Respondent Lawyers(s): Duane Ray Becker
Arbitrator(s): I Douglas Dunipace, Michael Kelley, David S. Eisenberg
Hearing Site: Phoenix, AZ
| | $143,598 |
| 20-02195 | 02/10/2021 | Claimant(s): Jennifer Scheffer, Jimmy Epley
Claimant Lawyers(s): Jimmy D. Epley
Respondent(s): Paul Kuhn
Respondent Lawyers(s): Joanna M. Myers
Arbitrator(s): Joseph Winter
Hearing Site: Las Vegas, NV
| | $0 |
| 20-02045 | 02/09/2021 | Claimant(s): Charles Rizzo, Linda Rizzo, Linda P. Currier Living Trust
Claimant Lawyers(s): Kristian Kraszewski
Respondent(s): NewBridge Securities Corp.
Respondent Lawyers(s): Gregg J. Breitbart
Arbitrator(s): John P. Cullem
Hearing Site: Orlando, FL
| | Expungement |
| 20-01723 | 02/09/2021 | Claimant(s): Benedict Emesowum
Claimant Lawyers(s): Benedict Emesowum
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Anthony L. Valenzuela
Arbitrator(s): Jane C. Carney
Hearing Site: Washington, DC
| | $0 |
| 20-02431 | 02/09/2021 | Claimant(s): Renuka Tummala
Claimant Lawyers(s): Renuka Tummala
Respondent(s): Robinhood Financial
Respondent Lawyers(s): Richard J. Davis
Arbitrator(s): Harvey R. Linder
Hearing Site: Raleigh, NC
| | $300 |
| 17-03293 | 02/08/2021 | Claimant(s): Elvira Feliksa, Michael Feliksa, Elvira E. Feliksa Roth IRA, Michael J. Feliksa IRA, Michael J. Feliksa Roth IRA, Elvira E. Feliksa Trust
Claimant Lawyers(s): Deanna Besbekos-LaPage
Respondent(s): Scott Reed
Respondent Lawyers(s): Michael D. Shore
Arbitrator(s): John J. Fitzpatrick, George King, Robert James Wilkie
Hearing Site: San Francisco, CA
| | Expungement |
