| 19-02053 | 02/05/2021 | Claimant(s): Beverley Schottenstein, Beverly B. Schottenstein, as Co-Trustee
Claimant Lawyers(s): Scott C. Ilgenfritz
Respondent(s): Avi Schottenstein, Evan Schottenstein, J.P. Morgan Securities
Respondent Lawyers(s): Gabrielle L. Gould, Jonathan J. Brennan, Robert C. Harris
Arbitrator(s): James M. Scutti, David Rich, Donna Greenspan Solomon
Hearing Site: Boca Raton, FL
|  | $18,947,500 |
| 20-01582 | 02/05/2021 | Claimant(s): Robert Mangine
Claimant Lawyers(s): Richard S. Wayne
Respondent(s): Charles Schwab & Co.., James Albert
Respondent Lawyers(s): Kevin H. Lewis
Arbitrator(s): Robert J. Scafuri
Hearing Site: Cincinnati, OH
| | Expungement |
| 19-02415 | 02/04/2021 | Claimant(s): Mary Anne Cunney
Claimant Lawyers(s): Alan L. Frank
Respondent(s): Amy Curley, Morgan Stanley, Raymond George
Respondent Lawyers(s): Andrew Gelfand
Arbitrator(s): Elizabeth Gilbert, Eugene G. P. Byrne, Sofia Balile
Hearing Site: New York, NY
| | $309,038 |
| 19-02564 | 02/04/2021 | Claimant(s): Shaheen Aulakh
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith F. Hoffman
Arbitrator(s): Matthew Stephen Duchesne
Hearing Site: Washington, DC
| | $0 |
| 20-01970 | 02/04/2021 | Claimant(s): Barbara Minkowitz
Claimant Lawyers(s): Barbara Minkowitz
Respondent(s): Pershing Advisor Solutions LLC
Respondent Lawyers(s): James H. Forte
Arbitrator(s): Patricia Kathleen Costello
Hearing Site: Jersey City, NJ
| | $0 |
| 18-04014 | 02/03/2021 | Claimant(s): JC McCall Revocable Trust
Claimant Lawyers(s): Gail E. Boliver
Respondent(s): Carmine Berardi, Jonathan McCormack, Philip Sparacino, Robert Spiegel, William Gennity, First Standard Financial Company LLC
Respondent Lawyers(s): Craig A. Riha, Martin H. Kaplan
Arbitrator(s): Alain Frecon
Hearing Site: Des Moines, IA
| | $114,383 |
| 20-03360 | 02/03/2021 | Claimant(s): Gary Mass
Claimant Lawyers(s): Gary Mass
Respondent(s): TD Ameritrade Clearing., TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): John Michael Bergin
Hearing Site: New York, NY
| | $0 |
| 19-01232 | 02/02/2021 | Claimant(s): Monte G'Sell, Monte Land G'Sell Revocable Living Trust
Claimant Lawyers(s): Nelson S. Ebaugh
Respondent(s): Thomas Badgett, TradingBlock
Respondent Lawyers(s): Martin Schexnayder
Arbitrator(s): Sherry R. Wetsch, Maryanne M. Esser, Thomas Deon Warner
Hearing Site: Houston, TX
| | $147,642 |
| 20-02886 | 02/02/2021 | Claimant(s): George Franklin, Wanda Franklin
Claimant Lawyers(s): Gavin Rush
Respondent(s): AXA Advisors
Respondent Lawyers(s): Jason A. Richardson
Arbitrator(s): Jeff Abrams, Edward Bradbury Cloutman, Staci Lynette Glenn
Hearing Site: Dallas, TX
| | Dismissed by Rule 12206 |
| 20-03287 | 02/01/2021 | Claimant(s): John Mazuroski
Claimant Lawyers(s): Michael J. Giarrusso
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Michael A. Gross
Arbitrator(s): George Forest Bingham
Hearing Site: Philadelphia, PA
| | $14,600 |
