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 |